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James Macgregor Powell

James M. Powell

Some features on this profile are disabled
CRD#: 4216113
James Macgregor 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.

James Macgregor Powell, CFP®, who also goes by James M Powell, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M 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)

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®
CFP®

Certified Financial Planner

Start date: 2023

Experience

Past

July 25, 2012 - October 30, 2014

PYRAMIS DISTRIBUTORS CORPORATION LLC

BD
CRD#: 146430
SMITHFIELD, RI
Past

January 31, 2008 - June 8, 2012

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ROCHESTER, NY
Past

August 30, 2000 - September 12, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/30/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/22/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/2/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2008
General Securities Principal Examination

Current Firm

PD
PYRAMIS DISTRIBUTORS CORPORATION LLC
PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430 / SEC#: , 8-67821

BD
Terminated by SEC on 09/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/15/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIAM HOLDINGS CORP.MEMBER
CONDRON, CASEY MOOREDIRECTOR3092905
COUTO, SCOTTPRESIDENT / DIRECTOR2178859
LINDE, JASON JOHNCCO2866398
LUBY, JAMES CLAYFINOP/CFO4542482

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

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

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