Individual Firm
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JEFFREY DOUGLAS POTTER
Jeffrey Potter
CRD#: 2902522
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1161 WEST RIVER STREET
SUITE 340
BOISE, ID 83702-7065
SUITE 340
BOISE, ID 83702-7065
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
California 1/6/2020
B
Nevada 1/6/2020
B
Idaho 1/6/2020
IA
Nevada 1/29/2020
IA
Idaho 7/15/2024
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/29/2020
B
Registered with this firm since 1/6/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/11/2012 - 06/13/2018 | WESTPORT, CT | |
B | 06/11/2012 - 06/13/2018 | WESTPORT, CT | |
IA | 06/01/2009 - 06/14/2012 | WESTPORT, CT | |
B | 06/01/2009 - 06/14/2012 | WESTPORT, CT | |
IA | 08/09/2005 - 06/01/2009 | WESTPORT, CT | |
B | 08/09/2005 - 06/01/2009 | WESTPORT, CT | |
IA | 11/11/2002 - 08/09/2005 | WESTPORT, CT | |
B | 11/11/2002 - 08/09/2005 | ST. LOUIS, MO | |
IA | 11/07/1997 - 10/29/2002 | STAMFORD, CT | |
B | 07/30/1997 - 10/29/2002 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.