John R. Powell
Professional summary
John Robert Powell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, John had worked at 3 firms, which includes IRVINE SECURITIES INC., THE CAMDEN GROUP, EVERGREEN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1993 - March 8, 2002
IRVINE SECURITIES, INC.
July 16, 1993 - September 24, 1993
THE CAMDEN GROUP
November 1, 1991 - March 10, 1993
EVERGREEN SECURITIES, INC.
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
Series 15
Date: 7/10/1986
Foreign Currency Options ExaminationCurrent Firm
IRVINE SECURITIES, INC.
CRD#: 34796 / SEC#: , 8-46425
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
