Edward M. Powers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Michael Powers was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2009 - January 20, 2011
DAWSON JAMES SECURITIES, INC.
May 13, 2008 - July 1, 2009
AURA FINANCIAL SERVICES, INC.
January 9, 2007 - June 9, 2008
GUNNALLEN FINANCIAL, INC
April 10, 2006 - January 9, 2007
AURA FINANCIAL SERVICES, INC.
August 6, 2004 - May 2, 2006
DAWSON JAMES SECURITIES, INC.
October 8, 2002 - October 26, 2004
VIEWTRADE FINANCIAL
August 22, 2001 - September 20, 2002
NATIONAL SECURITIES CORPORATION
July 11, 1997 - August 20, 2001
SCHNEIDER SECURITIES, INC.
January 7, 1997 - June 19, 1997
INVESTORS ASSOCIATES, INC.
October 25, 1996 - December 17, 1996
FIN-ATLANTIC SECURITIES, INC.
October 15, 1996 - October 16, 1996
GRUNTAL & CO., L.L.C.
November 1, 1995 - September 18, 1996
INVESTORS ASSOCIATES, INC.
May 31, 1995 - September 14, 1995
JOSEPH CHARLES & ASSOC., INC.
September 12, 1994 - April 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
August 25, 1994 - September 21, 1994
J. GREGORY & COMPANY, 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
Exams
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
