Richard D. 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.
Richard Dean Powell was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2019 - January 27, 2020
AE WEALTH MANAGEMENT, LLC
December 1, 2006 - August 11, 2009
QUESTAR CAPITAL CORPORATION
June 12, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
November 5, 2003 - July 10, 2006
EAGLE STRATEGIES LLC
March 9, 1998 - July 13, 2006
NYLIFE SECURITIES LLC
June 18, 1986 - January 26, 1998
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
