John Robert Powell
Professional Summary
John Robert Powell, who also goes by John Powell, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1991 - 2002. John had worked at 3 firms and has passed the Series 63, Series 22, Series 3, Series 15 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Powell
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
IRVINE SECURITIES, INC.
Contact Information
Established
Delaware since 08/03/1993Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
3Civil Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Oct 1991About the Series 22 examSeries 15 — Foreign Currency Options Examination
Passed Jul 1986Series 39 — Direct Participation Programs Principal Examination
Passed Aug 1993About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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