JP
James D. Powers
HERSHEY FINANCIAL ADVISERS
KNOXVILLE, TN 37760
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CRD#: 1320785
JP
Professional summary
James David Powers, who also goes by David Powers, is a registered financial advisor currently at HERSHEY FINANCIAL ADVISERS, LLC located in Knoxville, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Powers
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) JAMES D. POWERS - 6728 JIM STERCHI RD, KNOXVILLE, TN 37918 - SOLE PROP - SELL OF FIXED INSURANCE PRODUCTS. LIFE, HEALTH, DISABILITY AND LONG TERM CARE. - START DT:01/1984 - 2 HR/MO TRADING HRS - SELL OF FIXED INSURANCE PRODUCTS - NON-INVESTMENT RELATED
2) TRUST - N/A - N/A START DATE - NIR - SUCCESSOR TRUSTEE TO MY PARENTS TRUST BY WILLS - WOULD BECOME TRUSTEE IF BROTHER DECIDED HE COULD NOT OR WOULD NOT WANT TO BE THE TRUSTEE - TRUST - 0HR/MO
3) Registered Representative with Leigh Baldwin & Co., LLC, Cazenovia, NY; securities brokerage services.
CRS (Client Relationship Summary) - RIA
Click below to view James David Powers's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 19, 2017 - Present
HERSHEY FINANCIAL ADVISERS, LLC
Office #1: 10420 Jackson Oaks Way Suite 101, Knoxville, TN 37760RIA
CRD#: 149907
KNOXVILLE, TN
Past
February 1, 2017 - October 10, 2018
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
LANCASTER, PA
Past
March 6, 2015 - April 28, 2017
DAVID C. SELLERS FINANCIAL SERVICES, INC.
RIA
CRD#: 140981
JEFFERSON CITY, TN
Past
February 28, 2007 - May 2, 2017
JD POWERS FINANCIAL SERVICES, INC.
RIA
CRD#: 142966
KNOXVILLE, TN
Past
December 15, 2004 - October 1, 2007
RETIREMENT PLANNING SERVICES, LLC
RIA
CRD#: 133247
KNOXVILLE, TN
Past
January 23, 2004 - March 31, 2005
SSN ADVISORY, INC.
RIA
CRD#: 126090
OAK RIDGE, TN
Past
February 15, 1996 - February 1, 2017
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
January 4, 1993 - February 20, 1996
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
December 17, 1984 - January 11, 1993
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HF
HERSHEY FINANCIAL ADVISERS, LLC
HERSHEY FINANCIAL ADVISERS, LLC | HERSHEY FINNANCIAL ADVISERS, LLC
CRD#: 149907 / SEC#: 801-128090
RIA
Registered Investment Advisory firm - (6/8/2023 Approved)Florida
Registered Investment Advisory firm - (3/22/2024 Terminated)Maryland
Registered Investment Advisory firm - (3/28/2024 Terminated)North Carolina
Registered Investment Advisory firm - (3/25/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/26/2023 Terminated)Tennessee
Registered Investment Advisory firm - (3/22/2024 Terminated)Texas
Registered Investment Advisory firm - (3/22/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Tennessee(6/19/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HF
HERSHEY FINANCIAL ADVISERS, LLC
HERSHEY FINANCIAL ADVISERS, LLC | HERSHEY FINNANCIAL ADVISERS, LLC
CRD#: 149907 / SEC#: 801-128090
RIA
Registered Investment Advisory firm - (6/8/2023 Approved)Florida
Registered Investment Advisory firm - (3/22/2024 Terminated)Maryland
Registered Investment Advisory firm - (3/28/2024 Terminated)North Carolina
Registered Investment Advisory firm - (3/25/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/26/2023 Terminated)Tennessee
Registered Investment Advisory firm - (3/22/2024 Terminated)Texas
Registered Investment Advisory firm - (3/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 North Pointe Blvd Suite 300, Lancaster, PA 17601
Mailing Address
Phone number
(717) 295-8888
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 991 |
| AUM (Assets Under Management) | $ 139,268,500 |
Red Flags
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