Clinton Leslie Potts

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2012 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 03/2012 → 05/2023
  Sigma Planning Corporation
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Austin, TX

Previous Registrations

• 2012-03-30 → 2023-05-18
  Spc
  Ann Arbor, MI
  Austin, TX
  Round Rock, TX
  Austin, TX
• 2007-08-30 → 2012-04-03
  Edward Jones
  Austin, TX
  Round Rock, TX
  St Louis, MO

Other Businesses

1. 05/18/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 05/18/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 07/10/2023 - Legacy Oak Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 5/18/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100% 4. 07/10/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance: Trails Only - Start Date 5/18/2023 - 2 Hours Per Month/ 5 Hours During Trading - Time Spent 1% 5. 07/10/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 5/18/2023 - 2 Hours Per Month/ 0.25 Hours During Trading - Time Spent 1%

Exams

• S66 Uniform Combined State Law Examination
  2007-08-23

Other Names

• Clint Potts
• Clinton Potts
• Clinton Leslie Potts