SC
Samuel D. Cornell
NOVAK & POWELL FINANCIAL SERVICES
Tucson, AZ 85711
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CRD#: 1790408
SC
Professional summary
Samuel Douglas Cornell III, who also goes by Doug Cornell, S Douglas Cornell, Samuel Douglas Cornell, is a registered financial advisor currently at NOVAK & POWELL FINANCIAL SERVICES, INC. located in Tucson, Arizona.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Samuel has worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Cornell | S Douglas Cornell | Samuel Douglas Cornell
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.
DOUG CORNELL IS THE PRESIDENT OF COPPERZAP LLC; 5151 E. BROADWAY BLVD, SUITE 1600, TUCSON, AZ 85711-3777. START DATE: 06/2013. NOT INVESTMENT RELATED. THIS BUSINESS MANUFACTURES AND SELLS AN ANTIMICROBIAL DEVICE MADE OF COPPER, WHICH HAS BEEN SHOWN TO KILL BACTERIA AND VIRUSES. MR. CORNELL'S DUTIES INCLUDE OVERSIGHT AND PLANNING. MR. CORNELL DEVOTES APPROXIMATELY 16 HOURS PER MONTH TO THIS BUSINESS (OUTSIDE OF HIS NORMAL HOURS AT VANTAGE INVESTING); 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Douglas Cornell III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 29, 2021 - Present
NOVAK & POWELL FINANCIAL SERVICES, INC.
Office #1: 5151 E Broadway Suite 1600, Tucson, AZ 85711RIA
CRD#: 112970
Tucson, AZ
Past
April 21, 2005 - December 31, 2021
VANTAGE INVESTING LLC
RIA
CRD#: 134083
TUCSON, AZ
Past
July 31, 1993 - May 5, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 20, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NOVAK & POWELL FINANCIAL SERVICES, INC.
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
CRD#: 112970 / SEC#: 801-108964
RIA
Registered Investment Advisory firm - (1/24/2017 Approved)Colorado
Registered Investment Advisory firm - (1/31/2017 Terminated)Florida
Registered Investment Advisory firm - (1/26/2017 Terminated)Missouri
Registered Investment Advisory firm - (1/26/2017 Terminated)Texas
Registered Investment Advisory firm - (1/26/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(11/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
N&
NOVAK & POWELL FINANCIAL SERVICES, INC.
A.T. WHITEHEAD | NOVAK & POWELL FINANCIAL SERVICES, INC. | GATES INVESTMENTS, INC. | GATES FINANCIAL SERVICES, INC. | GATES FINANCIAL SERVICES, INC | GATES & POWELL FINANCIAL SERVICES, INC. | CARR CAPITAL MANAGEMENT
CRD#: 112970 / SEC#: 801-108964
RIA
Registered Investment Advisory firm - (1/24/2017 Approved)Colorado
Registered Investment Advisory firm - (1/31/2017 Terminated)Florida
Registered Investment Advisory firm - (1/26/2017 Terminated)Missouri
Registered Investment Advisory firm - (1/26/2017 Terminated)Texas
Registered Investment Advisory firm - (1/26/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
146 Second St N Suite 310, St. Petersburg, FL 33701
Mailing Address
Phone number
(727) 451-3440
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 952 |
| AUM (Assets Under Management) | $ 333,645,585 |
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.
