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RICHARD KEITH POTTS
RICHARD K POTTS, RICK POTTS
CRD#: 2607842
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1991 CROCKER ROAD, SUITE 100
WESTLAKE, OH 44145
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2009 - 2009 (<1 year)BEDWARD JONES (CRD# 250)1995 - 2004 (9 years)
License(s)

State Registrations

B
Arizona 10/15/2024

B
Nevada 10/15/2024

B
California 10/15/2024

B
New York 10/15/2024

B
Colorado 10/15/2024

B
North Carolina 10/15/2024

B
Florida 10/15/2024

B
Ohio 10/15/2024

B
Georgia 10/15/2024

IA
Ohio 10/15/2024

B
Idaho 10/15/2024

B
Pennsylvania 10/15/2024

B
Illinois 10/15/2024

B
South Carolina 10/15/2024

B
Indiana 10/15/2024

B
Tennessee 10/15/2024

B
Louisiana 10/15/2024

B
Texas 10/15/2024

B
Maryland 10/15/2024

IA
Texas 10/15/2024

B
Massachusetts 10/15/2024

B
Utah 10/15/2024

B
Michigan 10/15/2024

B
Virginia 10/15/2024

B
Nebraska 10/15/2024

B
Washington 10/15/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1991 CROCKER ROAD, SUITE 100, WESTLAKE, OH 44145
Registered with this firm since 10/15/2024

B
LPL FINANCIAL LLC (CRD#:6413)
1991 CROCKER ROAD, SUITE 100, WESTLAKE, OH 44145
Registered with this firm since 10/15/2024

Previous Registration(s)
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IA
04/29/2016 - 10/18/2024 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Westlake, OH
B
04/29/2016 - 10/18/2024 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) Westlake, OH
IA
11/17/2009 - 05/05/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Westlake, OH
B
10/05/2009 - 05/05/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Westlake, OH
B
02/27/2009 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WESTLAKE, OH
IA
10/18/2004 - 03/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WESTLAKE, OH
B
10/15/2004 - 03/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WESTLAKE, OH
B
06/20/1995 - 10/20/2004 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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