Sean S. Powers

POWERS CAPITAL MANAGEMENT

Columbus, OH 43215

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CRD#: 2728782

Professional summary

Sean Scott Powers is a registered financial advisor currently at POWERS CAPITAL MANAGEMENT, LLC located in Columbus, Ohio and U.S. BROKERAGE, INC. located in Columbus, Ohio.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Sean has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 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) CENTRAL OHIO FINANCIAL CONSULTANTS, LLC., 1650 LAKE SHORE DRIVE, SUITE 285. COLUMBUS, OH 43204, (614)485-1188, START DATE: 1/12/00. 160 HRS MO. DUTIES: DUTIES OF REGISTERED REP AND SUPERVISOR, CO-OWNER, DBA 2) TIMOTHY & ALISON O'DELL TRUSTS, 1650 LAKE SHORE DRIVE, COLUMBUS, OH, (615)485-1188, TOTAL HRS MO. 10-15, DUTIES: PAY BILLS, DISPURSE PYMTS, ADVISE AND/OR MEET WITH BENEFICIARIES, OVERSEE HOLDINGS. ASSETS ARE MANAGED BY 3RD PARTY ADVISOR NO COMMISSIONS ARE PD TO REP, OR SELF, AS PER GAF 3) DIVERSIFIED BROKERAGE SPECIALISTS, INC., AGENT, 30 W. THIRD ST. 2ND FLOOR. CINCINNATI, OH 45202, PH (800)621-6161, START DATE: 5/15/07, TOTAL HRS MO. 2, DUTIES: SALES OF LIFE, LTC AND, DISABILITY INSURANCE.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

February 16, 2022 - Present

POWERS CAPITAL MANAGEMENT, LLC

Office #1: 831 Grandview Ave, Columbus, OH 43215

RIA

CRD#: 317897

Columbus, OH

Current

March 25, 2010 - Present

U.S. BROKERAGE, INC.

Office #1: 831 Grandview Ave., Columbus, OH 43215

CRD#: 39307

Columbus, OH

Past

September 16, 2005 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

COLUMBUS, OH

Past

September 13, 2005 - March 30, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

COLUMBUS, OH

Past

July 20, 2004 - September 22, 2005

CENTRAL OHIO FINANCIAL CONSULTANTS, L.L.C.

RIA

CRD#: 131746

COLUMBUS, OH

Past

September 29, 2001 - September 14, 2005

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

May 22, 1997 - October 1, 2001

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

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.

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

Arizona
(3/25/2010)

California
(3/25/2010)

Florida
(3/25/2010)

Illinois
(3/25/2010)

Indiana
(5/13/2010)

Massachusetts
(3/4/2013)

New Jersey
(3/25/2010)

New York
(3/25/2010)

Ohio
(3/25/2010)

IAR

Ohio
(2/16/2022)

Oregon
(4/18/2018)

Pennsylvania
(3/25/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/12/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

POWERS CAPITAL MANAGEMENT, LLC

POWERS CAPITAL MANAGEMENT LLC | POWERS CAPITAL MANAGEMENT, LLC

CRD#: 317897 / SEC#:

Ohio

Registered Investment Advisory firm - (2/16/2022 Approved)

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Contact information

Main Address

831 Grandview Ave, Columbus, OH 43215

Mailing Address

Phone number

(614) 485-1188

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 22,829,286

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.

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Advisor Monitoring

Firm Stability Insights

Sean S. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Scott Powers's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BROKERAGE, INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

CENTRAL OHIO FINANCIAL CONSULTANTS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

EISNER SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2002

Series 63

Date: 6/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1997

Series 4

Date: 9/12/2006

Series 24

Date: 5/23/2001

FINRA

Current Firm

POWERS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POWERS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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