Stephen M. Potts

Current Employers

Employment History

• 05/2015 → Present
  Lpl Financial Llc
  Downers Grove, IL
• 05/2015 → 03/2018
  Opus Wealth Management Group
  Lisle, IL

Previous Registrations

• 2015-05-08 → 2018-03-13
  Opus Wealth Management Group
  Lisle, IL
  Lisle, IL
• 2004-03-02 → 2015-05-19
  Msi Financial Services, Inc.
  Rockford, IL
  Buffalo Grove, IL
  Downers Grove, IL
  Downers Grove, IL
  Downers Grove, IL
  Pittsburgh, PA
  Downers Grove, IL

Other Businesses

1. 1/20/2017 - Professional Wealth Advisors LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/30/2015 - 10 Hours Per Month/1 Hour During Securities Trading - business entity for tax purposes. 2. 4/10/2018 - Professional Wealth Advisors - DBA: Herbst Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/01/2018 - 80 Hours Per Month/60 Hours During Securities Trading. 3. 8/8/2018 - Professional Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/06/2018 - 160 Hours Per Month During Securities Trading. 4. 4/17/2020 - Dorion Gray Retirement Planning - DBA: DGRP--Dorion Gray Retirement Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/14/2020 - 40 Hours Per Month/30 Hours During Securities Trading. 5. 08/05/2024 - HPPW Growth Partners - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 06/30/2023 - 1 Hour Per Month/ During Trading 6. 08/20/2024 - PWA Tax Services, LLC (dba PWA & Professional Wealth Advisors - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/14/2022 - 1 Hour Per Month/ During Trading 7. 08/20/2024 - PWA Financial Services - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 10/30/2017 - 1 Hour Per Month/ During Trading 8. 08/20/2024 - PWA LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/15/2018 - 1 Hour Per Month/ During Trading 9. 08/21/2025- HPPW- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Reported Business Location(s)- Start date 04/30/2021- 1 Hour Per Month-1 Hour During Trading 10. 01/29/2026 - HighPoint Tax Services, LLC - Tax Prep/Accounting/CPA - Owner - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 5 hours per month/ 1 hour during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-02-26
• S63 Uniform Securities Agent State Law Examination
  2002-04-15