Kaaren D. 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.
Kaaren Dale Powell, who also goes by Kaaren Farren, Kaaren D Powell, Kaaren Stoop, was a registered financial professional .
Kaaren is a previously registered financial professional and started their career in finance in 1998. Kaaren had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - June 30, 2025
KOVACK SECURITIES INC.
April 29, 2016 - September 16, 2019
IFS SECURITIES
January 4, 1999 - May 9, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
