James Potts has been Chief Financial Officer of Msa Advisors since July 2014, is a control person of the firm and directly owns under 5% of it.
Msa Advisors, LLC is a Santa Monica, CA firm with $9.65B under management, 74 clients and 17 advisers in one office, as of its March 2026 filing.
No adviser firm registrations are on James Potts’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 2 January 2023 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 17 April 2015 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Full name
- James Bertrum Potts
- CRD
- 6411792
- Firm
- Msa Advisors · CRD 305170
- Role
- Chief Financial Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Potts work?
James Potts has been Chief Financial Officer of Msa Advisors, LLC since July 2014, and is a control person of the firm.
Does James Potts have a current investment-adviser registration?
James Potts has a current broker registration and no current investment-adviser registration.
What exams has James Potts passed?
James Potts has passed 3 licensing exams: the Series 28, Series 99TO and SIE. The earliest, the Series 28, was passed in April 2015.
Is James Potts registered with FINRA?
Yes. James Potts has a current broker registration, under CRD 6411792.
Source: FINRA BrokerCheck
How can I verify James Potts’ record?
Search CRD 6411792 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Potts’ full registration record.
