Unclaimed Profile

Stephen M. Potts

HIGHPOINT ADVISOR GROUP, LLC·DOWNERS GROVE, Illinois

SIE, Series 6, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65Clean record22 years registeredHIGHPOINT ADVISOR GROUP, LLC

2651 WARRENVILLE ROAD, DOWNERS GROVE, IL 60515CRD# 4441380Firm CRD# 316636

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen M. Potts · DOWNERS GROVE, IL

Registration

CRD #4441380 · HIGHPOINT ADVISOR GROUP, LLC · 22 years registered

Brand Profile

Not yet started

Career History

LPL FINANCIAL LLC

Feb 2018 – present

OPUS WEALTH MANAGEMENT GROUP

May 2015 – Mar 2018

LISLE, IL

METLIFE SECURITIES INC.

Feb 2009 – May 2015

DOWNERS GROVE, IL

METLIFE SECURITIES INC.

Mar 2004 – Feb 2009

DOWNERS GROVE, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Registration record

First registered · March 2, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HIGHPOINT ADVISOR GROUP, LLC

CRD 316636 · SEC 801-122583

AUM

$3.0B

Regulatory assets under management

Employees

13,229 client accounts

Services offered by HIGHPOINT ADVISOR GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HIGHPOINT ADVISOR GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Stephen M. Potts offer?

Stephen M. Potts specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in DOWNERS GROVE, Illinois for a consultation.

What are Stephen M. Potts's credentials?

Stephen M. Potts is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen M. Potts located?

Stephen M. Potts is based in DOWNERS GROVE, Illinois, working with HIGHPOINT ADVISOR GROUP, LLC. Their office serves clients in the DOWNERS GROVE metropolitan area and surrounding communities.

How does Stephen M. Potts charge for services?

Stephen M. Potts's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HIGHPOINT ADVISOR GROUP, LLC?

HIGHPOINT ADVISOR GROUP, LLC has approximately 96 employees and manages $3.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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