James D. Powers

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CRD#: 1320785

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 David Powers, who also goes by David 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 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

CRD#: 13318

KNOXVILLE, TN

Past

January 4, 1993 - February 20, 1996

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

December 17, 1984 - January 11, 1993

PFS INVESTMENTS INC.

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/1994

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HERSHEY FINANCIAL BROCHURE 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	991
AUM (Assets Under Management)	$ 139,268,500

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.

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Advisor Monitoring

Firm Stability Insights

James D. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

DAVID C. SELLERS FINANCIAL SERVICES, INC.

JD POWERS FINANCIAL SERVICES, INC.

RETIREMENT PLANNING SERVICES, LLC

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

MARINER FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

HERSHEY FINANCIAL ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1993

Series 6

Date: 12/14/1984

Series 24

Date: 2/25/1994

Current Firm

HERSHEY FINANCIAL ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERSHEY FINANCIAL ADVISERS, LLC

TRUST BUT VERIFY

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