CP
Christopher J. Powers
WMGNA
Farmington, CT 06032
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CRD#: 2578640
CP
Professional summary
Christopher James Powers is a registered financial advisor currently at WMGNA located in Farmington, Connecticut and ARKADIOS CAPITAL located in Farmington, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)WMGNA,LLC;investment related;10 Talcott Notch Road,Suite 103,Farmington,CT 06032;RIA;IAR;9/2018;100+ hrs/month;6.5 hrs during trading;work as a wealth advisor under WMGNA,LLC's RIA 2)Insurance;not investment related;10 Talcott Notch,Suite 103,Farmington,CT;insurance(health,life,& di);1996;5 hrs/month;.5 hrs during trading;insurance renewal,commission and new insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Powers's 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®
NoneExperience
Current
December 10, 2018 - Present
WMGNA
Office #1: 10 Talcott Notch Road Suite 103, Farmington, CT 06032RIA
CRD#: 125765
Farmington, CT
Current
November 11, 2024 - Present
ARKADIOS CAPITAL
Office #1: 10 Talcott Notch Rd Suite 103, Farmington, CT 06032BD
CRD#: 282710
Farmington, CT
Past
August 23, 2024 - November 18, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
Farmington, CT
Past
October 7, 2019 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Farmington, CT
Past
November 28, 2005 - July 25, 2018
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
Farmington, CT
Past
November 28, 2005 - July 25, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
Farmington, CT
Past
September 28, 1995 - December 20, 2005
ADVEST, INC.
RIA
CRD#: 10
WEST HARTFORD, CT
Past
January 24, 1995 - December 20, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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".
WM
WMGNA
WEALTH MANAGEMENT GROUP OF NORTH AMERICA, LLC | WMGNA; AND WMGNA, LLC | WMGNA, LLC | WMGNA
CRD#: 125765 / SEC#: 801-130388
RIA
Registered Investment Advisory firm - (6/17/2024 Approved)Connecticut
Registered Investment Advisory firm - (8/23/2024 Terminated)Florida
Registered Investment Advisory firm - (8/23/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (8/29/2024 Terminated)New York
Registered Investment Advisory firm - (8/23/2024 Terminated)North Carolina
Registered Investment Advisory firm - (8/26/2024 Terminated)South Carolina
Registered Investment Advisory firm - (8/23/2024 Terminated)Texas
Registered Investment Advisory firm - (8/23/2024 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(12/10/2018)
RR
Connecticut(11/11/2024)
RR
Florida(11/11/2024)
RR
Maryland(12/4/2024)
RR
Massachusetts(11/12/2024)
RR
Oregon(11/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WM
WMGNA
WEALTH MANAGEMENT GROUP OF NORTH AMERICA, LLC | WMGNA; AND WMGNA, LLC | WMGNA, LLC | WMGNA
CRD#: 125765 / SEC#: 801-130388
RIA
Registered Investment Advisory firm - (6/17/2024 Approved)Connecticut
Registered Investment Advisory firm - (8/23/2024 Terminated)Florida
Registered Investment Advisory firm - (8/23/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (8/29/2024 Terminated)New York
Registered Investment Advisory firm - (8/23/2024 Terminated)North Carolina
Registered Investment Advisory firm - (8/26/2024 Terminated)South Carolina
Registered Investment Advisory firm - (8/23/2024 Terminated)Texas
Registered Investment Advisory firm - (8/23/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Talcott Notch Road Suite 103, Farmington, CT 06032
Mailing Address
Phone number
(860) 679-5255
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 858 |
| AUM (Assets Under Management) | $ 217,090,556 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
