James R. Potter

BROCK HILL WEALTH MANAGEMENT

Bourne3, MA

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CRD#: 7667962

Professional summary

James Robert Potter is a registered financial advisor currently at BROCK HILL WEALTH MANAGEMENT located in Bourne3, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. James has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Potter & Szabo CPA PC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Potter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 10, 2024 - Present

BROCK HILL WEALTH MANAGEMENT

RIA

CRD#: 324946

Bourne3, MA

Past

July 25, 2023 - December 14, 2023

AWH FINANCIAL, LLC

RIA

CRD#: 285183

Framingham, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

BROCK HILL WEALTH MANAGEMENT

BROCK HILL INC. | HALAL WEALTH PLAN | BROCK HILL WEALTH MANAGEMENT | BROCK HILL PRIVATE ADVISORS

CRD#: 324946 / SEC#: 801-127410

Massachusetts

Registered Investment Advisory firm - (8/28/2023 Approved)

Texas

Registered Investment Advisory firm - (3/28/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Newton, MA

Mailing Address

Phone number

(617) 618-8194

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	112
AUM (Assets Under Management)	$ 64,091,493

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.

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James R. Potter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Potter's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROCK HILL WEALTH MANAGEMENT

AWH FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Current Firm

BROCK HILL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROCK HILL WEALTH MANAGEMENT

TRUST BUT VERIFY

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