James N. 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.
James Nelson Powers was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, 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
May 6, 2013 - September 23, 2014
GB CAPITAL MARKETS LLC
September 1, 2010 - June 8, 2011
PIERPONT CAPITAL ADVISORS LLC
July 3, 2009 - December 15, 2009
SEAPINE SECURITIES, LLC
May 25, 2007 - November 21, 2007
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 2004 - November 17, 2006
B. RILEY SECURITIES, INC.
September 14, 2000 - April 19, 2004
ALLY SECURITIES LLC
April 13, 1995 - September 18, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 26, 1984 - March 10, 1995
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/19/1984
Interest Rate Options ExaminationCurrent Firm
GB CAPITAL MARKETS LLC
CRD#: 25591 / SEC#: , 8-41854
Contact information
FINRA licenses (10 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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