Joshua D. Powell

NOVAK & POWELL FINANCIAL SERVICES

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CRD#: 4225150

Professional summary

Joshua D Powell is a registered financial advisor currently at NOVAK & POWELL FINANCIAL SERVICES, INC. .

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joshua has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Joshua D 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

May 6, 2011 - Present

NOVAK & POWELL FINANCIAL SERVICES, INC.

RIA

CRD#: 112970

Past

April 22, 2008 - March 31, 2014

ALPINE ASSET MANAGEMENT, LLC

RIA

CRD#: 146736

BOULDER, CO

Past

August 24, 2000 - July 29, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ST PETERSBURG, FL

Past

August 22, 2000 - July 29, 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".

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/6/2011)

IAR

Florida
(9/5/2014)

IAR

Texas
(5/28/2014)

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: 2/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/2/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/21/2000

General Securities Representative Examination

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 Terminated)

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Contact information

Main Address

146 Second St N Suite 310, St. Petersburg, FL 33701

Mailing Address

Phone number

(727) 451-3440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOVAK & POWELL FINANCIAL SERVICES, INC. DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	952
AUM (Assets Under Management)	$ 333,645,585

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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Joshua D. Powell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua D Powell's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOVAK & POWELL FINANCIAL SERVICES, INC.

ALPINE ASSET MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NOVAK & POWELL FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/2008

Series 66

Date: 10/2/2000

Series 7

Date: 8/21/2000

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVAK & POWELL FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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