Ray 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.
Ray Leon Powell was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1999. Ray had worked at 3 firms and has passed the Series 66, Series 63, 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
February 27, 2015 - December 31, 2016
ADVISOR RESEARCH PARTNERS, LLC
June 15, 2011 - November 24, 2014
OXBOW ADVISORS, LLC
June 13, 2011 - November 24, 2014
HERNDON PLANT OAKLEY, LTD.
June 1, 1999 - November 24, 2014
HERNDON PLANT OAKLEY, LTD.
State Registrations and Notice Filings
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Exams
Current Firm
ADVISOR RESEARCH PARTNERS, LLC
CRD#: 174121 / SEC#:
Contact information
Red Flags
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