Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thea? Claim Your ProfileThea Marie Potvin is a financial advisor with over 20 years of experience in the industry. Thea has been registered with Pershing LLC since 2021 and with Pershing Advisor Solutions LLC since 2019. Previously, Thea worked for a number of other financial firms including Woodbury Financial Services, Inc., LPL Financial LLC, and Securities Service Network, Inc. Thea has a wide range of experience in the financial services industry, including investment advisory, securities trading, and financial planning. Thea holds the Series 6, 7, 63, 66, 52TO, 99TO, and SIE licenses. Thea is registered to provide financial services in California, Colorado, and New Jersey.
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
NJ
11/08/2021 - Present
Pershing LLC (JERSEY CITY NJ)
CO
07/29/2016 - 08/19/2019
WOODBURY FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CO
11/19/2013 - 08/12/2016
LPL FINANCIAL LLC (CENTENNIAL CO)
CO
08/03/2009 - 11/20/2013
SECURITIES SERVICE NETWORK, INC. (CENTENNIAL CO)
CO
10/31/2005 - 07/29/2009
SAGEPOINT FINANCIAL, INC. (CENTENNIAL CO)
AZ
08/04/2004 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MN
06/19/2003 - 09/25/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/19/2003 - 09/25/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
GA
01/24/2003 - 05/12/2003
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 07/30/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/30/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/23/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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