Richard M. Potocki
Professional summary
Richard Michael Potocki is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1980. Richard has worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Potocki's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2013 - Present
VAN ECK SECURITIES CORPORATION
Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033February 28, 2011 - August 10, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
May 18, 2010 - February 15, 2011
GENTER CAPITAL MANAGEMENT
May 18, 2010 - February 15, 2011
GENTER ADVISORS LLC
April 12, 2010 - February 16, 2011
GRAND DISTRIBUTION SERVICES, LLC
July 28, 1998 - July 25, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
March 8, 1990 - April 22, 1998
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
September 1, 1989 - February 15, 1990
PRINTON, KANE GROUP, INC.
May 30, 1989 - September 1, 1989
PRINTON KANE & CO., L.P.
April 19, 1988 - April 27, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 4, 1987 - March 31, 1988
CITIGROUP GLOBAL MARKETS INC.
October 24, 1980 - March 13, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
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.
