POTOMAC INVESTMENT COMPANY is an SEC-registered investment adviser (CRD 14553). Regulatory assets under management: $107.0M.
Compensation: % of AUM, Commissions.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Carol Schwartz Greenwald | PRESIDENT/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-07 | regulatory | POTOMAC ACTED AS A BROKER DEALER FOR 4 MONTHS FOR ONE EXISTING CLIENT WHO MOVED TO MAINE BEFORE REGISTERING WITH STATE OF MAINE. | Final | $3K |
| 1995-08-18 | regulatory | FAILURE TO PAY STATE CORPORATE REGISTRATION FEE FOR FIRM. | Final | — |