Joseph W. Powers

GREAT DIAMOND PARTNERS

Portland, ME 04101

Some features on this profile are disabled

CRD#: 2465108

Professional summary

Joseph William Powers, CFP®, CLU®, who also goes by Joseph W Powers, is a registered financial advisor currently at GREAT DIAMOND PARTNERS, LLC located in Portland, Maine.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

What are your service offerings?

Business Succession Planning

Investment Planning

Insurance Planning

Estate Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Joseph W Powers

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.

(1) INDEPENDENT LICENSED INSURANCE AGENT; PORTLAND, MAINE; NON- INVESTMENT RELATED (2) 06/2023 The Catholic Foundation of Maine; Chair of the Finance Committee; Investment related; 510 Ocean Avenue Portland ME 04101; Endowments; 3 hours per month; 0 during trading hours; Chair a finance committee of 6 volunteers and work with RIA Cap Trust as advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William 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®

CFP^®

Certified Financial Planner

Start date: 1999

CLU^®

Chartered Life Underwriter

Experience

Current

May 9, 2019 - Present

GREAT DIAMOND PARTNERS, LLC

Office #1: 22 Monument Square Suite 300, Portland, ME 04101

RIA

CRD#: 299598

Portland, ME

Past

May 10, 2019 - October 15, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Portland, ME

Past

February 11, 2000 - May 20, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PORTLAND, ME

Past

February 11, 2000 - May 20, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PORTLAND, ME

Past

April 12, 1995 - February 18, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

May 31, 1994 - November 18, 1994

GEORGE K. BAUM & COMPANY

CRD#: 36354

KANSAS CITY, MO

Past

May 18, 1994 - May 31, 1994

GKB, INC.

CRD#: 350

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GREAT DIAMOND PARTNERS, LLC

GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA

Registered Investment Advisory firm - (5/9/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(5/9/2019)

IAR

Texas
(11/2/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/17/1998

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/17/1998

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1998

General Securities Principal Examination

Current Firm

GREAT DIAMOND PARTNERS, LLC

GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA

Registered Investment Advisory firm - (5/9/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

22 Monument Square Suite 300, Portland, ME 04101

Mailing Address

Phone number

(207) 274-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT DIAMOND PARTNERS LLC (3/4/2025)

Regulatory assets under management

Total Number of Accounts	1,618
AUM (Assets Under Management)	$ 613,396,493

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph W. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Powers's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITICORP INVESTMENT SERVICES

GEORGE K. BAUM & COMPANY

GKB, INC.

Primary Firm SEC Registration

GREAT DIAMOND PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1999

Series 63

Date: 11/11/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1994

Series 10

Date: 9/17/1998

Series 9

Date: 9/17/1998

Series 24

Date: 4/21/1998

Current Firm

GREAT DIAMOND PARTNERS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT DIAMOND PARTNERS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors