James Poteet, financial advisor Charlotte NC
96 score

James Poteet

CRD Number: 3154885
Current Firm: Vanguard Advisers Inc.

James Poteet (CRD# 3154885) is an Investment Advisor Representative working at Vanguard Advisers Inc. in Charlotte, NC and has over 17 years of experience in the finance industry. James Poteet has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
The Vanguard Group, Inc. Charlotte, NC Apr 2014 - Current 2
Cetera Investment Advisers LLC Schaumburg, IL Jan 2014 - Mar 2014 < 1
Chemical Bank Midland, MI Feb 2013 - Mar 2014 1
Cetera Investment Services St.cloud, MN Feb 2013 - Mar 2014 1
Unemployed Shepherd, MI Oct 2012 - Jan 2013 < 1
Sears Holdings Acme, MI Aug 2012 - Oct 2012 < 1
Prout Financial Design Traverse City, MI Jul 2012 - Oct 2012 < 1
Unemployed Shepherd, MI Apr 2012 - Jun 2012 < 1
Tim Collins State Farm Traverse City, MI Dec 2011 - Mar 2012 < 1
Manpower Traverse City, MI Oct 2011 - Dec 2011 < 1
Metlife Securities Inc. Grand Rapids, MI Nov 2010 - Sep 2011 < 1
Citizens Bank Traverse City, MI Jun 2009 - Nov 2010 1
Lpl Financial Charlotte, NC Jun 2009 - Nov 2010 1
Saint Patrick Cathedral Church Traverse City, MI Sep 2007 - Jun 2009 1
Chase Investment Services Corp Traverse City, MI Feb 2007 - Jun 2009 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Traverse City, MI Mar 2005 - Dec 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1999
S66 NASAA Uniform Combined State Law Examination Jun 2004
Contact Info for James R. Poteet
Phone Number: 610-669-1000
Firm Website: http://www.vanguard.com
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    79,883
    MILLIONS
  • Total Number of Accounts
    546,930
    ACCOUNTS
  • Average Account Value
    $146,058
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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