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STEPHEN CHARLES POTTS
STEPHEN C POTTS, STEVE POTTS
CRD#: 2754636
IA
Investment Adviser
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Broker
HIGHTOWER ADVISORS, LLCCRD#: 145323 83 Pineland Dr Ste 203
New Gloucester, ME 04260
HIGHTOWER SECURITIES, LLCCRD#: 116681 83 Pineland Dr Ste 203
New Gloucester, ME 04260
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2019 (6 years)2 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2012 (15 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2012 (5 years)
Disclosure(s)
View By:
3/2/2012
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 1/18/2021

B
Massachusetts 1/3/2020

B
California 4/28/2023

B
New Hampshire 1/6/2020

B
Colorado 1/6/2021

B
New Mexico 1/7/2021

B
Connecticut 1/3/2022

B
New York 10/30/2019

B
Delaware 9/2/2020

B
North Carolina 10/27/2020

B
Florida 1/3/2020

B
Rhode Island 1/6/2021

B
Georgia 1/7/2021

B
Texas 1/6/2021

B
Maine 10/24/2019

B
Vermont 2/28/2020

IA
Maine 10/24/2019

B
Virginia 1/7/2021

B
Maryland 8/25/2020

B
Washington 8/12/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HIGHTOWER ADVISORS, LLC (CRD#:145323)
83 Pineland Dr Ste 203, New Gloucester, ME 04260
Registered with this firm since 10/24/2019

B
HIGHTOWER SECURITIES, LLC (CRD#:116681)
83 Pineland Dr Ste 203, New Gloucester, ME 04260
Registered with this firm since 10/23/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/26/2013 - 10/28/2019 BOREAL CAPITAL MANAGEMENT LLC (CRD#:112221) NORTH YARMOUTH, ME
B
01/18/2013 - 10/24/2019 BOREAL CAPITAL SECURITIES LLC (CRD#:158599) MIAMI, FL
IA
03/14/2007 - 03/30/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORTLAND, ME
B
07/18/1996 - 03/30/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORTLAND, ME
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Broker
IA
Investment Adviser
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.