Benjamin Tracy Powell
Professional Summary
Benjamin Tracy Powell, who also goes by Benjamin Powell, Ben Powell, is a registered financial advisor currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1994. Benjamin has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Benjamin Powell, Ben Powell
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.
Contact Information
Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202Mailing Address
P.o. Box 30248, Charlotte, NC 28230Phone Number
(855) 880-2559Established
Delaware since 08/23/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Tracy Powell's CRS (Customer Relationship Summary).
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