YACKEE POTEMPA & SMALLEY ASSET MANAGEMENT ⚠ Disclosure events ACTIVE IA

FINRA firm 331073 · FORT WAYNE, IN · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 331073
Firm name: YACKEE POTEMPA & SMALLEY ASSET MANAGEMENT
Other names / DBAs: YACKEE POTEMPA & SMALLEY ASSET MANAGEMENT; YACKEE POTEMPA SMALLEY LLC
IA scope: ACTIVE
Branches: 2
Disclosure events: YES
HQ: FORT WAYNE, IN, 46802, United States

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