Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Poteet is a financial advisor with over 17 years of experience in the financial services industry. James is currently registered with Vanguard Advisers, Inc. and has a Series 7, Series 63, Series 66 and SIE license. He is also a Certified Financial Planner. Previously, James has worked with several other firms, including CETERA INVESTMENT SERVICES LLC, MetLife Securities Inc., LPL Financial Corporation, Chase Investment Services Corp. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James specializes in providing financial advice to individuals, high-net-worth individuals, families and businesses. He is also experienced in providing financial advice to trusts, pension and profit sharing plans, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NC
05/05/2014 - Present
Vanguard Advisers, Inc. (CHARLOTTE NC)
MI
02/08/2013 - 03/24/2014
CETERA INVESTMENT SERVICES LLC (ST. LOUIS MI)
MI
11/24/2010 - 09/26/2011
METLIFE SECURITIES INC. (GRAND RAPIDS MI)
MI
06/02/2009 - 11/11/2009
LPL FINANCIAL CORPORATION (BOYNE CITY MI)
MI
02/16/2007 - 06/01/2009
CHASE INVESTMENT SERVICES CORP. (TRAVERSE CITY MI)
MI
04/05/2005 - 12/18/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TRAVERSE CITY MI)
KS
06/17/2004 - 02/07/2005
WADDELL & REED, INC. (OVERLAND PARK KS)
GA
02/12/1999 - 09/29/1999
FSC SECURITIES CORPORATION (ATLANTA GA)
BOTH
Issued 06/17/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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