Roeland Pot
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.
Roeland Pot, who also goes by Roeland Hendrik Pot, was a registered financial professional .
Roeland is a previously registered financial professional and started their career in finance in 2020. Roeland had worked at 2 firms and has passed the Series 99TO, Series 7TO, Series 57TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2020 - August 22, 2023
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
January 16, 2020 - August 22, 2023
FLOW TRADERS U.S. 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 7TO
Date: 7/30/2020
General Securities Representative ExaminationSeries 57TO
Date: 1/16/2020
Securities Trader ExamCurrent Firm
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
CRD#: 282266 / SEC#: , 8-69711
Contact information
FINRA licenses (13 States and Territories)
Documents
Direct owners and executive officers
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.
