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TOD BANE POTTER
CRD#: 2458463
IA
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WELLS FARGO ADVISORSCRD#: 19616 WINTER PARK, CO
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Disclosures
29
Years of Experience
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State Registrations
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Alabama 6/27/2024
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Montana 12/1/2021
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Alaska 9/3/2021
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Nevada 8/22/2023
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Arizona 2/2/2021
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New Jersey 6/28/2022
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California 2/14/2014
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New Mexico 3/26/2020
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Colorado 1/3/2011
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New York 10/22/2021
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Colorado 1/28/2019
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North Carolina 1/3/2011
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District of Columbia 10/22/2021
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Oklahoma 10/4/2021
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Florida 10/16/2018
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Texas 1/3/2011
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Hawaii 10/14/2021
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Texas 1/3/2011
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Kansas 1/3/2011
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Utah 1/16/2025
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Louisiana 1/24/2019
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Virginia 10/22/2021
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Massachusetts 11/14/2024
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Wisconsin 9/30/2020
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Mississippi 6/7/2024
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Wyoming 5/29/2012
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Missouri 1/20/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2007 - 01/03/2011 | HOUSTON, TX | |
B | 01/16/2007 - 01/03/2011 | HOUSTON, TX | |
IA | 01/21/2004 - 01/16/2007 | HOUSTON, TX | |
B | 01/27/2004 - 01/16/2007 | HOUSTON, TX | |
IA | 08/21/2001 - 01/26/2004 | HOUSTON, TX | |
B | 08/21/2001 - 01/26/2004 | NEW YORK, NY | |
B | 12/13/2000 - 09/19/2001 | SAN FRANCISCO, CA | |
B | 06/07/1996 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 01/29/2001 - 04/29/2001 | MINNEAPOLIS, MN | |
B | 04/13/2000 - 12/13/2000 | MINNEAPOLIS, MN | |
B | 05/18/1994 - 10/06/1994 | RALEIGH, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.