Arthur F. 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.
Arthur Frederick Powell, who also goes by Art Powell, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1987. Arthur had worked at 3 firms and has passed the SIE, Series 52 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
June 26, 1991 - January 22, 2020
POWELL CAPITAL MARKETS, INC.
May 13, 1991 - October 9, 1992
A & E CAPITAL GROUP, INC.
November 2, 1987 - August 29, 1990
GRIGSBY & ASSOCIATES, 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
POWELL CAPITAL MARKETS, INC.
CRD#: 28328 / SEC#: , 8-43472
Contact information
Documents
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.
