Candice L. Potter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Candice Lynn Potter, who also goes by Candice Lynn Demers, Candice Potter, was a registered financial professional .
Candice is a previously registered financial professional and started their career in finance in 2014. Candice had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2018 - May 28, 2019
TRI-AD CAPITAL MANAGEMENT, INC.
September 8, 2015 - June 1, 2016
OSAIC SERVICES, INC.
September 8, 2015 - June 1, 2016
OSAIC SERVICES, INC.
November 20, 2014 - October 12, 2016
KINGSVIEW WEALTH MANAGEMENT, LLC
February 28, 2014 - July 8, 2014
EQUITABLE ADVISORS, LLC
January 6, 2014 - July 8, 2014
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRI-AD CAPITAL MANAGEMENT, INC.
CRD#: 109687 / SEC#: 801-108470
Contact information
Regulatory assets under management
| Total Number of Accounts | 52 |
| AUM (Assets Under Management) | $ 448,882,881 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
