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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Potts is a financial advisor currently registered with Hightower Advisors, LLC. Stephen has been in the financial industry since 1996 and has a broad range of experience. Stephen has experience with financial planning, portfolio management, and treasury management. Stephen is licensed to offer investment advice in a number of states, including Maine, California, Arizona, Colorado, Connecticut, Delaware, Florida, Georgia, Maryland, Massachusetts, New Hampshire, New Mexico, New York, North Carolina, Rhode Island, Texas, Vermont, Virginia, and Washington.
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.
Guidance on pension options to ensure a secure financial future.
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.
Treasury management for corporate clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Retainer or service fees or some combination of 1, 2, 4, 5 & 7
1
2
ME
10/24/2019 - Present
Hightower Advisors, LLC (New Gloucester ME)
FL
01/18/2013 - 10/24/2019
BOREAL CAPITAL SECURITIES LLC (MIAMI FL)
ME
07/18/1996 - 03/30/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND ME)
IA
Issued 12/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/1998
Series 3 - National Commodity Futures Examination
BC
Issued 06/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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