Luke A. Powell
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.
Luke Andrew Powell was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 1996. Luke had worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - October 12, 2021
GROWTH CAPITAL SERVICES, INC.
October 31, 2014 - April 16, 2015
FLYING CLOUD SECURITIES LLC
June 1, 2012 - June 24, 2014
GORDIAN INVESTMENTS, LLC
May 7, 2011 - June 1, 2012
EQUUS FINANCIAL CONSULTING LLC
April 28, 2010 - May 7, 2011
NEWOAK CAPITAL MARKETS LLC
December 21, 2005 - May 16, 2008
NEWOAK CAPITAL MARKETS LLC
April 22, 2003 - July 12, 2005
INDEPENDENT RESEARCH GROUP LLC
September 1, 1998 - September 20, 1999
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
July 3, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationCurrent Firm
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
Red Flags
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