Ewell C. Potts
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.
Ewell Cardwell Potts IV, who also goes by Ewell Cardwell Potts, was a registered financial professional .
Ewell is a previously registered financial professional and started their career in finance in 2023. Ewell had worked at 1 firm and has passed the Series 66, Series 79TO, Series 7TO, SIE and Series 3 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, 2023 - November 27, 2024
BABCOCK & BROWN 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 79TO
Date: 9/1/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 5/11/2023
General Securities Representative ExaminationCurrent Firm
BABCOCK & BROWN SECURITIES LLC
CRD#: 169440 / SEC#: , 8-69368
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
