Joseph B. Powers

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CRD#: 2925786

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.

Joseph Bernard Powers, who also goes by Joseph B Powers, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph B Powers

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.

Employee of affiliated registered investment adviser, Victory Capital Management Inc.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 25, 2015 - May 8, 2025

VICTORY CAPITAL MANAGEMENT INC.

RIA

CRD#: 106189

Bayville, NY

Past

November 25, 2015 - May 8, 2025

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

June 25, 2013 - August 5, 2015

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

December 1, 2005 - June 12, 2013

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

December 10, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 28, 2003 - October 21, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 11, 2002 - February 7, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

January 6, 1998 - February 5, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VICTORY CAPITAL MANAGEMENT INC.

CRD#: 106189 / SEC#: 801-46878

RIA

Registered Investment Advisory firm - (5/10/1994 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1997

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: 7/10/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VICTORY CAPITAL MANAGEMENT INC.

CRD#: 106189 / SEC#: 801-46878

RIA

Registered Investment Advisory firm - (5/10/1994 Approved)

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Contact information

Main Address

15935 La Cantera Pkwy, San Antonio, TX 78256

Mailing Address

Phone number

(877) 660-4400

Established

Firm type

Fiscal year end

# of Employees

460

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VICTORY CAPITAL MANAGEMENT ADV PART 2A - MARCH 2025 (4/8/2025)

Regulatory assets under management

Total Number of Accounts	2,566
AUM (Assets Under Management)	$ 152,291,202,954

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

Joseph B. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VICTORY CAPITAL SERVICES, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VICTORY CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/1998

Series 63

Date: 10/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/10/1998

Series 6

Date: 12/23/1997

Current Firm

VICTORY CAPITAL MANAGEMENT INC.

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICTORY CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

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