James A. 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.
James Anthony Powell, who also goes by James Powell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2011 - March 10, 2015
TD AMERITRADE CLEARING, INC.
August 9, 2011 - March 10, 2015
TD AMERITRADE, INC.
November 29, 1989 - January 16, 1990
FBS BROKERAGE SERVICES, INC.
November 3, 1989 - May 1, 1990
U.S. BANCORP INVESTMENTS, INC.
October 10, 1989 - November 3, 1989
FBS BROKERAGE SERVICES, 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
Current Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
