Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Aaron Potts is a financial professional with over 20 years of experience in the industry. Samuel is currently registered with Charles Schwab & CO., Inc., and is located in Lone Tree, Colorado. Samuel previously worked with JANUS DISTRIBUTORS LLC in Denver, Colorado. Samuel holds the following licenses: Series 6, 7, 9, 10, 63, and SIE. Samuel has experience working with insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisors, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. Samuel is a financial advisor who can provide various financial services such as financial planning and selection of other advisors.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
10/10/2014 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
01/14/2000 - 09/26/2014
JANUS DISTRIBUTORS LLC (DENVER CO)
BC
Issued 02/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/18/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/10/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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