James D Potter

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

• 10/2004 → Present
  Community Financial Credit Union
  Plymouth, MI
• 07/2011 → Present
  Lpl Financial Llc
  Plymouth, MI

Previous Registrations

• 2007-03-27 → 2011-07-05
  Uvest Financial Services Group, Inc.
  Plymouth, MI
  Charlotte, NC
  Plymouth, MI
• 2006-02-13 → 2007-03-19
  Cuna Brokerage Services, Inc.
  Plymouth, MI
  Plymouth, MI

Other Businesses

1. 07/05/2011: Investment products and services are offered through LPL Financial LLC using the DBA/trade name COMMUNITY FINANCIAL INVESTMENT & INSURANCE SVCS - Investment Related - At Reported Business Location(s) 2. 5/22/2012: COMMUNITY FINANCIAL - Financial Institution Duty - Investment Related - At Reported Business Location(s) - Time Spent 100% 3. 03/27/2026: Investment products and services are offered through LPL Financial LLC using the DBA/trade name ORSA Wealth Management - Investment Related - At Reported Business Location(s) - Start Date 03/25/2026 - 160 hours per month/ 130 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2006-01-05
• S63 Uniform Securities Agent State Law Examination
  1992-01-10

Other Names

• James Dennis Potter
• Jim Potter