Douglas H. 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.
Douglas Hyde Powell JR, who also goes by Douglas Powell Jr, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 6 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2020 - October 6, 2021
PTP SECURITIES, LLC
September 20, 2006 - April 7, 2020
OCM INVESTMENTS, LLC
November 8, 2000 - April 27, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 23, 1999 - November 13, 2000
BOFA DISTRIBUTORS, INC.
April 2, 1998 - January 8, 1999
GOLDMAN SACHS & CO. LLC
August 2, 1988 - March 15, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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 7TO
Date: 3/8/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/8/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PTP SECURITIES, LLC
CRD#: 136832 / SEC#: , 8-67059
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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