KP
Kevin M. Powers
CHARTER ADVISORY
MARIEMONT, OH 45227
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CRD#: 4561891
KP
Professional summary
Kevin Michael Powers is a registered financial advisor currently at CHARTER ADVISORY CORPORATION located in Mariemont, Ohio and LPL FINANCIAL LLC located in Mariemont, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) 10/16/2009 - POWERS BENEFITS CORP - THIRD PARTY ADMINISTRATOR (TPA) - INV REL - AT REPORTED BUSINESS LOCATION - President - Third Party Administrator for Qualified Retirement Plans - I provide administrative services for qualified retirement plans including: annual compliance testing, form 5500 preparation, account reconciliation - 90% TIME SPENT.
(2) 3/25/2010 - POWERS FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION.
(3) 9/9/2010 - Charter Advisory Corporation - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 10/2009 - 32 Hours Per Month - Time Spent 20% - I provide investment advisory services through Charter Advisory Corporation, an independent investment advisor firm. I started this business activity in 10/2009. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Powers's 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®
NoneExperience
Current
October 1, 2009 - Present
CHARTER ADVISORY CORPORATION
Office #1: 3814 West Street Suite 303, Mariemont, OH 45227RIA
CRD#: 113390
MARIEMONT, OH
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 3814 West Street, Unit 303, Mariemont, OH 45227-0000RIA
BD
CRD#: 6413
MARIEMONT, OH
Past
September 8, 2009 - October 1, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
June 17, 2003 - September 8, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
CINCINNATI, OH
Past
November 8, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
CINCINNATI, OH
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".
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)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.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
California(12/12/2018)
RR
Connecticut(1/7/2011)
RR
Florida(9/8/2009)
RR
Georgia(9/8/2009)
RR
Illinois(7/17/2023)
RR
Indiana(9/8/2009)
RR
Kentucky(9/8/2009)
RR
Louisiana(3/18/2021)
RR
Massachusetts(4/4/2014)
RR
New Jersey(11/13/2023)
RR
New York(1/3/2024)
RR
North Carolina(9/22/2010)
RR
Ohio(9/8/2009)
IAR
Ohio(10/1/2009)
RR
Texas(12/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
250 E. 96th Street Suite 200, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 844-7416
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 366,305,467 |
Red Flags
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Company Information
CHARTER ADVISORY CORPORATION
CRD#: 113390Mariemont, OH 45227TRUST BUT VERIFY
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