Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen John Potter is a financial advisor with over 30 years of experience in the financial industry. He has a wide range of experience, including working with high-net-worth individuals, corporations, and institutions. He is currently registered with Morgan Stanley and holds several licenses and certifications including Series 3, 7, 63, and 65. Stephen John Potter has previously worked with firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated and Kidder, Peabody & Co. Incorporated. He is committed to providing personalized financial advice and helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
09/24/2018 - Present
Morgan Stanley (Fort Lauderdale FL)
FL
01/02/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
FL
11/22/1989 - 01/08/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
NA
10/30/1989 - 11/16/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
02/19/1986 - 11/14/1989
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 06/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1987
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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