Raymond R. 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.
Raymond Randall Powell, who also goes by Randy Powell, Raymond R Powell, was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1984. Raymond had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 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
September 29, 2009 - December 15, 2010
S & H ASSET ADVISORS
June 19, 2006 - August 18, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 14, 2004 - June 19, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - August 18, 2009
WORLD GROUP SECURITIES, INC.
January 29, 2001 - April 12, 2002
WMA SECURITIES, INC.
February 28, 1996 - June 21, 2000
BROOKSTREET SECURITIES CORPORATION
June 28, 1991 - February 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1989 - November 3, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
October 17, 1986 - September 16, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1984 - October 30, 1986
UBS FINANCIAL SERVICES 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
No current employment
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.
