AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Richard M. Powell

EARLYBIRDCAPITAL
Keswick, VA 22947
Some features on this profile are disabled
CRD#: 2660587
RP

Professional summary

Richard Michael Powell JR is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Keswick, Virginia.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Michael Powell JR'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®
None

Experience

Current

August 25, 2010 - Present

EARLYBIRDCAPITAL, INC.

Office #1: 3279 Heathcote Lane, Keswick, VA 22947
BD
CRD#: 28629
Keswick, VA
Past

February 15, 2007 - March 23, 2010

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

December 4, 2001 - February 13, 2007

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
WHITE PLAINS, NY
Past

April 30, 2001 - May 29, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

July 31, 1998 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

August 26, 1997 - July 16, 1998

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

October 17, 1995 - August 7, 1997

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

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

RR
Connecticut
(2/7/2013)
RR
Florida
(5/3/2011)
RR
Illinois
(5/3/2011)
RR
Louisiana
(3/9/2016)
RR
Minnesota
(2/7/2013)
RR
New York
(8/25/2010)
RR
Virginia
(8/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

EI
EARLYBIRDCAPITAL, INC.
CORNELL SECURITIES CONSULTANTS, INC. | SOUTHEAST RESEARCH PARTNERS, INC. | EARLYBIRDCAPITAL.COM INC. | EARLYBIRDCAPITAL, INC.

CRD#: 28629 / SEC#: , 8-43828

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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
One Huntington Quadrangle, Suite 1c15, Melville, NY 11747
Mailing Address
1 Huntington Quadrangle 1c15, Melville, NY 11747
Phone number
+1 (631) 770-0600
Established
Delaware since 05/09/1991
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EBC HOLDINGS INC.HOLDING COMPANY
KAUFMANN, AMY ELIZABETHEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2776989
LEVINE, STEVEN ARTHURPRESIDENT/DIRECTOR2714473
NUSSBAUM, DAVID MARTINCHAIRMAN/DIRECTOR1631483
PENDERGAST, MICHELLE MARIEFINOP/CFO5441721

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

EARLYBIRDCAPITAL, INC.

CRD#: 28629Keswick, VA 22947

TRUST BUT VERIFY

Monitor Richard Powell

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

KB
Kevin BakerAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
NORTON, VA
KF
Katherine FeeneyAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
ML
Miladin LacarakAdvisorCheck Check Mark
CHIMERA SECURITIES, LLC
PR
NEW YORK, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.