Stephen W. Powell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Wayne Powell, who also goes by Steve Wayne Powell, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 9 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2003 - March 6, 2012
GVC CAPITAL LLC
November 29, 1999 - November 17, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 19, 1996 - December 7, 1999
WEDBUSH SECURITIES INC.
July 20, 1992 - March 20, 1996
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 3, 1991 - July 29, 1992
IDS LIFE INSURANCE COMPANY
May 3, 1991 - July 29, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 1990 - April 12, 1991
BARRINGER RYAN VANCE, INC.
March 21, 1990 - October 18, 1990
ADVANCE BROKERAGE SERVICES, INC.
December 20, 1989 - January 6, 1990
AESIR SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
