Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Halley? Claim Your ProfileHalley Potter is an active investment advisor representative registered with National Financial Services LLC. Halley has been in the industry since November 19, 2014, and has experience in both the Broker-Dealer and Investment Advisor space. Halley currently holds Series 7, Series 63, Series 66, Series 99TO, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
RI
04/16/2019 - Present
National Financial Services LLC (SMITHFIELD RI)
RI
10/31/2014 - 03/22/2019
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 07/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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