Paul L. 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.
Paul Lex Powell, who also goes by Paul L Powell, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2014 - July 10, 2017
KESTRA INVESTMENT SERVICES, LLC
April 29, 2013 - September 3, 2014
FINANCIAL TELESIS INC
April 18, 2013 - January 16, 2019
WEALTHSPIRE RETIREMENT ADVISORY
October 5, 2006 - April 15, 2013
FINANCIAL TELESIS INC
September 5, 2006 - September 3, 2014
FINANCIAL TELESIS INC
October 7, 2004 - October 2, 2006
CAPSOUTH WEALTH MANAGEMENT
September 20, 2004 - September 6, 2006
NBC SECURITIES, INC.
June 20, 2002 - October 6, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - October 6, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 6, 2001 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
April 6, 2001 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
December 15, 1997 - April 17, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
