Richard K. Powers
Professional summary
Richard K Powers, who also goes by Richard K. Powers, Richard Kevin Powers, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 13 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard K Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 16, 2023 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue 10th Floor, New York, NY 10022November 16, 2023 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022September 26, 2022 - August 3, 2023
MBS SOURCE ETRADING, INC.
December 3, 2018 - October 6, 2022
HARRISDIRECT LLC
November 30, 2018 - October 6, 2022
E*TRADE SECURITIES LLC
September 28, 2015 - November 29, 2018
UBS FINANCIAL SERVICES INC.
September 3, 2015 - November 29, 2018
UBS FINANCIAL SERVICES INC.
February 3, 2015 - August 25, 2015
INSPEREX LLC
January 15, 2014 - September 26, 2014
HAPOALIM SECURITIES USA, INC.
July 16, 2008 - September 16, 2013
BNY MELLON CAPITAL MARKETS, LLC
August 21, 2006 - January 22, 2008
BNY INVESTMENT CENTER INC.
January 14, 2005 - May 9, 2006
TD AMERITRADE, INC.
October 1, 2004 - January 11, 2005
DAVID LERNER ASSOCIATES, INC.
November 18, 2003 - January 26, 2004
JOSEPH STEVENS & CO., INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/16/2023)
(11/16/2023)
(11/16/2023)
(11/20/2023)
(11/16/2023)
(11/17/2023)
(11/16/2023)
(11/20/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 2/9/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
