David Lemal Powell
Professional Summary
David Lemal Powell is a registered financial advisor currently at POWELL WEALTH located in Cornelius, North Carolina. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
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.
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
Current Firm
POWELL FINANCIAL, INC. | RED MAPLE, INC. | POWELL WEALTH
Contact Information
Main Address
17818 Statesville Rd Suite 221, Cornelius, NC 28031Phone Number
(704) 439-0027# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
272AUM (Assets Under Management)
$229,200,273Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
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.
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
Primary Firm SEC Registration
POWELL FINANCIAL, INC. | RED MAPLE, INC. | POWELL WEALTH
State Registrations and Notice Filings
(10/15/2007)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1994About the Series 6 examSimilar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
CRS (Client Relationship Summary) - RIA
Click below to view David Lemal Powell's CRS (Customer Relationship Summary).
Similar Advisors
PORTUS WEALTH ADVISORS, LLC
VANGUARD ADVISERS, INC.
