Benjamin T. Powell
Professional summary
Benjamin Tracy Powell, who also goes by Benjamin Powell, Ben Powell, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Tracy Powell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2018 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202February 2, 1998 - December 31, 2017
MURIEL SIEBERT & CO., LLC
May 2, 1997 - January 22, 1998
ALL-TECH DIRECT, INC.
April 23, 1996 - April 23, 1997
AMERIPRISE ADVISOR SERVICES, INC.
July 19, 1995 - March 6, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
June 23, 1995 - July 26, 1995
FAB SECURITIES OF AMERICA, INC.
January 4, 1995 - June 1, 1995
GLOBAL EQUITIES GROUP INC
October 13, 1994 - January 5, 1995
A. T. BROD & CO. INC.
May 23, 1994 - June 10, 1994
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/6/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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