James B. Potts
Professional summary
James Bertrum Potts, who also goes by James Potts, Jay Potts, is a registered financial professional currently at MSA SECURITIES, LLC located in Santa Monica, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Bertrum Potts's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2020 - Present
MSA SECURITIES, LLC
Office #1: 3110 Main Street Suite 310, Santa Monica, CA 90405July 8, 2015 - July 16, 2017
MSA SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/17/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
MSA SECURITIES, LLC
CRD#: 150557 / SEC#: , 8-68267
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FILLO, CHRISTOPHER MARK | MANAGING MEMBER, CCO, EXEC. REP., AML SUPER. | |
| MISTY MOUNTAIN HOP AGGREGATOR TRUST | MEMBER | |
| POTTS, JAMES BERTRUM | FINOP, CFO | 6411792 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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