Jesse A. Wachs

POWELL INVESTMENT ADVISORS

Miami, FL 33133

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CRD#: 4437874

Professional summary

Jesse Aaron Wachs is a registered financial advisor currently at POWELL INVESTMENT ADVISORS, LLC located in Miami, Florida.

Jesse is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jesse has worked at 3 firms and has passed the Series 63 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.

1. PIA Integrated LLC, 3225 Aviation Ave, 502, Miami, FL, Business is investment related, Nature of business: Agriculture, Minority Owner since 9/2/2019, Devote 2-5 hours/month, Devote 0-2 hours/month during securities trading hours, Duties: Passive Investment/Monitoring.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Aaron Wachs'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 2, 2012 - Present

POWELL INVESTMENT ADVISORS, LLC

Office #1: 3444 Main Highway Second Floor, Miami, FL 33133

RIA

CRD#: 160333

Miami, FL

Past

June 22, 2004 - March 16, 2007

PRS INTERNATIONAL BROKERAGE, INC.

CRD#: 18382

MIAMI, FL

Past

October 4, 2001 - January 16, 2004

TD SECURITIES (USA) LLC

CRD#: 18476

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".

POWELL INVESTMENT ADVISORS, LLC

CRD#: 160333 / SEC#: 801-74420

RIA

Registered Investment Advisory firm - (3/21/2012 Approved)

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

Florida
(5/2/2012)

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

Series 63

Date: 11/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/2001

General Securities Representative Examination

Current Firm

POWELL INVESTMENT ADVISORS, LLC

CRD#: 160333 / SEC#: 801-74420

RIA

Registered Investment Advisory firm - (3/21/2012 Approved)

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Contact information

Main Address

3444 Main Highway Second Floor, Miami, FL 33133

Mailing Address

Phone number

(786) 470-3480

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/6/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 586,343,962

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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Jesse A. Wachs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Aaron Wachs's CRS (Customer Relationship Summary).

Certified licenses

Experience

POWELL INVESTMENT ADVISORS, LLC

PRS INTERNATIONAL BROKERAGE, INC.

TD SECURITIES (USA) LLC

Primary Firm SEC Registration

POWELL INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/2001

Series 7

Date: 10/3/2001

Current Firm

POWELL INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POWELL INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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