Robert C. Powell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Charles Powell, who also goes by Rob Powell, Robby Powell, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2023 - June 11, 2024
RONDEIVU SECURITIES, LLC
December 19, 2005 - September 21, 2007
JONESTRADING
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/7/2022
General Securities Representative ExaminationSeries 55
Date: 3/4/2006
Limited Representative-Equity Trader ExamCurrent Firm
RONDEIVU SECURITIES, LLC
CRD#: 321162 / SEC#: , 8-70931
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RONDEIVU, INC. | MEMBER | |
| ASHMORE, MICHAEL RADLEY | CEO AND EXECUTIVE REPRESENTATIVE | |
| BRANT, DAVID ROBERT | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2718478 |
| QUINTERO, STEVEN YOICHI | CCO |
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.
