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JP

James S. Powell

MULTI-BANK SECURITIES
FT. LAUDERDALE, FL 33308
Some features on this profile are disabled
CRD#: 3268499
JP

Professional summary

James Southey Powell, who also goes by James Powell, Jim Powell, is a registered financial professional currently at MULTI-BANK SECURITIES, INC. located in Ft. Lauderdale, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Powell | Jim Powell

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Southey Powell's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 27, 2013 - Present

MULTI-BANK SECURITIES, INC.

Office #1: 2400 E. Commercial Blvd Ste. 1200, Ft. Lauderdale, FL 33308
BD
CRD#: 22098
FT. LAUDERDALE, FL
Past

May 16, 2011 - August 26, 2013

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

March 7, 2008 - May 16, 2011

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

June 1, 2001 - March 10, 2008

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

September 21, 1999 - June 6, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/4/2024)
RR
Arizona
(6/16/2014)
RR
California
(8/15/2017)
RR
Colorado
(4/4/2024)
RR
Connecticut
(6/16/2014)
RR
Delaware
(4/4/2024)
RR
Florida
(8/27/2013)
RR
Georgia
(1/26/2017)
RR
Idaho
(4/4/2024)
RR
Illinois
(6/16/2014)
RR
Indiana
(1/26/2017)
RR
Iowa
(1/26/2017)
RR
Kansas
(8/28/2013)
RR
Kentucky
(4/4/2024)
RR
Louisiana
(4/4/2024)
RR
Maryland
(4/4/2024)
RR
Massachusetts
(1/26/2017)
RR
Michigan
(9/16/2019)
RR
Minnesota
(9/16/2019)
RR
Missouri
(4/4/2024)
RR
Nebraska
(4/4/2024)
RR
Nevada
(4/18/2024)
RR
New Jersey
(4/4/2024)
RR
New York
(7/1/2014)
RR
North Carolina
(9/16/2019)
RR
Ohio
(12/15/2020)
RR
Pennsylvania
(1/26/2017)
RR
Rhode Island
(4/18/2024)
RR
Texas
(8/29/2013)
RR
Virginia
(11/27/2013)
RR
Washington
(6/8/2020)
RR
Wisconsin
(4/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MULTI-BANK SECURITIES, INC.
MULTI-BANK SECURITIES, INC.

CRD#: 22098 / SEC#: , 8-39547

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1000 Town Center #2300, Southfield, MI 48075
Mailing Address
1000 Town Center #2300, Southfield, MI 48075
Phone number
(248) 291-1100
Established
Michigan since 08/17/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MULTI-BANK SERVICES, LTD.SOLE SHAREHOLDER
DREWS, MICHAEL WAYNEVICE CHAIRMAN1664216
ELSNER, MERLIN AUBERONCCO5593423
KARSNER, MICHAEL STEPHENCHIEF FINANCIAL OFFICER/TREASURER5751851
MACCAGNONE, DAVID THOMASCEO, CHAIRMAN811479
MACCAGNONE, JEFFERY THOMASPRESIDENT/SECRETARY2077369

Disclosures

Regulatory Event4

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.

Company Information

MULTI-BANK SECURITIES, INC.

CRD#: 22098Ft. Lauderdale, FL 33308

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