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Nicholas P. Powers

HUNTLEIGH SECURITIES
St. Louis, MO 63105
Some features on this profile are disabled
CRD#: 2347188
NP

Professional summary

Nicholas Patrick Powers is a registered financial professional currently at HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Patrick Powers's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 25, 1997 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
BD
CRD#: 7456
St. Louis, MO
Past

May 26, 1995 - December 18, 1996

MOSES.COM SECURITIES, INC.

BD
CRD#: 21442
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/5/1997)
RR
Georgia
(6/8/2016)
RR
Illinois
(2/4/1999)
RR
Missouri
(6/19/1997)
RR
Nebraska
(11/19/2013)
RR
Texas
(4/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTLEIGH SECURITIES CORPORATION
HUNTLEIGH SECURITIES CORPORATION | KRENTZ, MEYER & MCCLELLAN INVESTMENT CORPORATION

CRD#: 7456 / SEC#: , 8-21893

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
Mailing Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
Phone number
(314) 236-2400
Established
Missouri since 05/12/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHAMBERS, ROBERT LEWISPRESIDENT/DIRECTOR/OWNER1231649
GAO CONSULTING, LLCOWNER
CHAMBERS, ROBERT BARRETTDIRECTOR6963634
LEOPOLD, MICHAEL WARRENDIRECTOR306991
MARSHALL, CATHERINE TERRYCCO/DIRECTOR/CORPORATE SECRETARY1445205
O'CONNELL, CHRISTOPHER CORYDIRECTOR5008251
OVERSCHMIDT, GREG ALFREDDIRECTOR1160877
THOMAS, KAREN LEECHIEF OPERATIONS OFFICER AND FIN/OP1970467

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

HUNTLEIGH SECURITIES CORPORATION

CRD#: 7456St. Louis, MO 63105

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