CP
Carol A. Powell
HARPER CAPITAL MANAGEMENT, LTD.
Cold Spring, NY 10516-0312
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CRD#: 2125134
CP
Professional summary
Carol Ann Powell, who also goes by Carol Ann Batty, is a registered financial advisor currently at HARPER CAPITAL MANAGEMENT, LTD. located in Cold Spring, New York and MAGNOLIA CAPITAL MANAGEMENT located in Cold Spring, New York.
Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Carol has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Ann Batty
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.
1-Carol A Powell, CPA; not investment related;10 Julia Lane Suite 101, Cold Spring, NY 10516; the business is a tax and accounting firm; I am the sole owner; Owner; January 1979; 120 hours per month; Hours during securities trading hours is approx. 120 per month; duties include tax and accounting services 2-Magnolia Capital Management, Ltd.; yes the company is investment related; 145 Main Street, Cold Spring, NY 10516; investment advisory firm; Treasurer and Board of Directors Member; March 2002; 20 hours per month; hours worked are during securities trading hours; responsible for attending quarterly board meetings, tax filings and on an as needed basis investment advisory decisions
CRS (Client Relationship Summary) - RIA
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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
August 27, 2021 - Present
HARPER CAPITAL MANAGEMENT, LTD.
Office #1: 10 Julia Lane Suite 101, Cold Spring, NY 10516-0312RIA
CRD#: 130229
Cold Spring, NY
Current
August 27, 2021 - Present
MAGNOLIA CAPITAL MANAGEMENT
Office #1: 55 Chestnut Street, Suite 5, Cold Spring, NY 10516RIA
CRD#: 119597
Cold Spring, NY
Past
March 7, 1991 - August 4, 1993
SECURITIES AMERICA, INC.
BD
CRD#: 10205
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".
MC
MAGNOLIA CAPITAL MANAGEMENT
MAGNOLIA CAPITAL MANAGEMENT | MAGNOLIA CAPITAL MANAGEMENT, LTD.
CRD#: 119597 / SEC#: 801-65323
RIA
Registered Investment Advisory firm - (1/19/2006 Approved)New York
Registered Investment Advisory firm - (8/21/2006 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
New York(8/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
MC
MAGNOLIA CAPITAL MANAGEMENT
MAGNOLIA CAPITAL MANAGEMENT | MAGNOLIA CAPITAL MANAGEMENT, LTD.
CRD#: 119597 / SEC#: 801-65323
RIA
Registered Investment Advisory firm - (1/19/2006 Approved)New York
Registered Investment Advisory firm - (8/21/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Chestnut Street, Suite 5, Cold Spring, NY 10516
Mailing Address
Po Box 330, Cold Spring, NY 10516-0330
Phone number
(845) 809-5259
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 218,439,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 10/31/2023 | ||
| 10/26/2022 |
Red Flags
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Company Information
MAGNOLIA CAPITAL MANAGEMENT
CRD#: 119597Cold Spring, NY 10516-0312TRUST BUT VERIFY
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