James L. Powers
Professional summary
James Larkin Powers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, James had worked at 7 firms, which includes IFS SECURITIES, CELADON FINANCIAL GROUP LLC, AEGIS CAPITAL CORP., DU PASQUIER & CO. INC., MAGNA, SHARPE CAPITAL INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - September 13, 2016
IFS SECURITIES
January 13, 2016 - February 12, 2016
CELADON FINANCIAL GROUP LLC
July 18, 2014 - December 24, 2015
AEGIS CAPITAL CORP.
January 18, 2005 - July 25, 2014
DU PASQUIER & CO., INC.
October 29, 2000 - February 11, 2005
MAGNA
June 20, 1994 - October 23, 2000
SHARPE CAPITAL, INC.
February 24, 1994 - July 11, 1994
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
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.
