Robert A. Powers
Professional summary
Robert Anthony Powers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Robert had worked at 7 firms, which includes EMERGING GROWTH EQUITIES LTD., ROTH CAPITAL PARTNERS LLC, BLV SECURITIES, KILDARE CAPITAL INC., OPPENHEIMER & CO. INC., BOENNING & SCATTERGOOD INC., INVESTEC INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - November 20, 2018
EMERGING GROWTH EQUITIES, LTD.
March 18, 2015 - September 4, 2015
ROTH CAPITAL PARTNERS, LLC
July 18, 2012 - March 11, 2015
EMERGING GROWTH EQUITIES, LTD.
March 2, 2012 - June 27, 2012
BLV SECURITIES
June 30, 2008 - February 9, 2012
ROTH CAPITAL PARTNERS, LLC
October 25, 2007 - July 17, 2008
KILDARE CAPITAL, INC.
January 30, 2004 - October 16, 2007
OPPENHEIMER & CO. INC.
October 26, 1999 - January 20, 2004
EMERGING GROWTH EQUITIES, LTD.
June 27, 1997 - September 9, 1999
BOENNING & SCATTERGOOD, INC.
May 11, 1992 - July 14, 1997
INVESTEC INC.
State Registrations and Notice Filings
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Exams
Current Firm
EMERGING GROWTH EQUITIES, LTD.
CRD#: 47040 / SEC#: , 8-51642
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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