Roger T. 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.
Roger Tyler Powers, who also goes by Roger Tyler Powers III, Ty Powers, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1997. Roger had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 7, Series 52, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2014 - May 31, 2016
HATTERAS INVESTMENT PARTNERS, LP
November 19, 2009 - May 31, 2016
HATTERAS CAPITAL DISTRIBUTORS, LLC
October 13, 2009 - December 31, 2011
HATTERAS CAPITAL INVESTMENT MANAGEMENT, LLC
October 13, 2009 - July 31, 2014
HATTERAS INVESTMENT PARTNERS LLC
July 14, 2005 - October 29, 2007
SCOTT & STRINGFELLOW, LLC
July 11, 2005 - October 29, 2007
SCOTT & STRINGFELLOW, LLC
September 21, 2001 - July 14, 2003
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - July 14, 2003
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
January 14, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
HATTERAS INVESTMENT PARTNERS, LP
CRD#: 170628 / SEC#: 801-79326
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
Series 8
Date: 1/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HATTERAS INVESTMENT PARTNERS, LP
CRD#: 170628 / SEC#: 801-79326
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 187,768,848 |
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.
