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Detailed Report
WILLIAM MAXIMILLIAN POTTETTI
CRD#: 1132085
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2007200820092010201120122013201420152016IACADARET GRANT & CO INC (CRD# 10641)2014 - 2015 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2012 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2008 - 2012 (4 years)
Disclosure(s)
View By:
10/7/2015
Regulatory
Final
10/2/2012
Employment Separation After Allegations
2/1/2010
Judgment / Lien
3/1/2009
Judgment / Lien
1/16/2009
Customer Dispute
Denied
1/10/2008
Customer Dispute
Denied
12/18/2007
Customer Dispute
Settled
Previous Registration(s)
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 08/15/2014 - 09/18/2015 CADARET GRANT & CO INC (CRD#:10641) PORT JEFFERSON, NY
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 10/01/2012 - 10/12/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) COMMACK, NY
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 06/17/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) COMMACK, NY
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.