Andrew J. Powers

POWERS INVESTMENT ADVISORY

Highland Hts., OH

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CRD#: 5007471

Professional summary

Andrew J. Powers, CFP® is a registered financial advisor currently at POWERS INVESTMENT ADVISORY CORPORATION located in Highland Hts., Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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 Andrew J. Powers'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

August 28, 2007 - Present

POWERS INVESTMENT ADVISORY CORPORATION

RIA

CRD#: 110401

Highland Hts., OH

Current

February 20, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 279 Skye Road, Highland Heights, OH 44143

CRD#: 35747

ALBANY, NY

Past

July 10, 2025 - February 23, 2026

LPL FINANCIAL LLC

CRD#: 6413

HIGHLAND HEIGHTS, OH

Past

September 2, 2005 - July 10, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

HIGHLAND HEIGHTS, 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".

POWERS INVESTMENT ADVISORY CORPORATION

POWERS INVESTMENT ADVISORY CORP | POWERS INVESTMENT ADVISORY CORPORATION

CRD#: 110401 / SEC#: 801-134997

RIA

Registered Investment Advisory firm - (1/2/2026 Approved)

Ohio

Registered Investment Advisory firm - (1/9/2026 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2026 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.

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

California
(2/20/2026)

Colorado
(2/20/2026)

District of Columbia
(2/20/2026)

Florida
(2/20/2026)

Georgia
(2/20/2026)

Illinois
(2/20/2026)

Indiana
(2/20/2026)

Kentucky
(2/20/2026)

Maryland
(2/20/2026)

Massachusetts
(2/20/2026)

Michigan
(2/20/2026)

New Hampshire
(2/20/2026)

New York
(2/20/2026)

IAR

Ohio
(8/28/2007)

Ohio
(2/20/2026)

Pennsylvania
(2/20/2026)

Rhode Island
(2/20/2026)

South Carolina
(2/20/2026)

IAR

Texas
(4/8/2009)

Texas
(2/20/2026)

Virginia
(2/20/2026)

Washington
(2/20/2026)

West Virginia
(2/20/2026)

Wyoming
(2/20/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

POWERS INVESTMENT ADVISORY CORPORATION

POWERS INVESTMENT ADVISORY CORP | POWERS INVESTMENT ADVISORY CORPORATION

CRD#: 110401 / SEC#: 801-134997

RIA

Registered Investment Advisory firm - (1/2/2026 Approved)

Ohio

Registered Investment Advisory firm - (1/9/2026 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2026 Terminated)

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Contact information

Main Address

Highland Hts., OH

Mailing Address

Phone number

(440) 442-4483

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (11/20/2025)

Regulatory assets under management

Total Number of Accounts	193
AUM (Assets Under Management)	$ 111,579,096

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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Firm Stability Insights

Andrew J. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew J. Powers's CRS (Customer Relationship Summary).

Certified licenses

Experience

POWERS INVESTMENT ADVISORY CORPORATION

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

Primary Firm SEC Registration

POWERS INVESTMENT ADVISORY CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2007

Series 63

Date: 11/23/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2005

Series 24

Date: 12/21/2006

FINRA

Current Firm

POWERS INVESTMENT ADVISORY CORPORATION

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POWERS INVESTMENT ADVISORY CORPORATION

TRUST BUT VERIFY

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