William C. Powers
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.
William Charles Powers, who also goes by Bill Powers, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2017 - October 4, 2017
FRONTIER SOLUTIONS, LLC
November 21, 1994 - February 17, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
November 23, 1992 - November 21, 1994
PACIFIC SELECT DISTRIBUTORS, LLC
February 11, 1988 - January 10, 1991
J.P. MORGAN SECURITIES LLC
September 21, 1983 - March 1, 1988
SALOMON BROTHERS 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
Series 5
Date: 1/4/1984
Interest Rate Options ExaminationCurrent Firm
FRONTIER SOLUTIONS, LLC
CRD#: 136102 / SEC#: , 8-66972
Contact information
FINRA licenses (47 States and Territories)
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.
