Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN FRANCIS POTTER
JOHN F POTTER
CRD#: 2169418
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 BOISE, ID
Registration History
19952000200520102015202020252 FIRMS2017 - 2019 (1 year)4 FIRMS2019 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2015 - 2017 (1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2015 - 2015 (<1 year)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2010 - 2014 (4 years)BPRUDENTIAL ANNUITIES DISTRIBUT... (CRD# 21570)2006 - 2009 (3 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2004 - 2006 (2 years)BMML DISTRIBUTORS, LLC (CRD# 38030)2003 - 2004 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1991 - 2003 (12 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Idaho 6/6/2023
IA
Idaho 6/6/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
BOISE, ID
Registered with this firm since 6/6/2023
B
LPL FINANCIAL LLC (CRD#:6413)
BOISE, ID
Registered with this firm since 6/6/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/16/2019 - 01/03/2023 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Boise, ID
IA
 09/16/2019 - 01/03/2023 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) Boise, ID
B
 09/16/2019 - 01/03/2023 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Boise, ID
B
 09/16/2019 - 01/03/2023 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) SAN DIEGO, CA
IA
 11/01/2017 - 09/17/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) Meridian, ID
B
 10/25/2017 - 09/17/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) Meridian, ID
IA
 04/07/2017 - 07/17/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) NAMPA, ID
B
 10/29/2015 - 07/17/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) BOISE, ID
B
 02/03/2015 - 10/13/2015 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SAN DIEGO, CA
B
 05/26/2010 - 08/29/2014 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) SAN DIEGO, CA
B
 06/20/2006 - 12/09/2009 PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (CRD#:21570) SHELTON, CT
B
 03/18/2004 - 06/23/2006 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) CONSHOHOCKEN, PA
B
 09/12/2003 - 09/28/2004 MML DISTRIBUTORS, LLC (CRD#:38030) SPRINGFIELD, MA
B
 09/13/1991 - 09/16/2003 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.