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RP

Robert T. Powell

FOROS SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5330873
RP

Professional summary

Robert Todd Powell is a registered financial professional currently at FOROS SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2013. Robert has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Robert Todd Powell'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®
None

Experience

Current

December 9, 2010 - Present

FOROS SECURITIES LLC

Office #1: 461 Fifth Avenue 17th Floor, New York, NY 10017Office #2: 461 Fifth Avenue 17th Floor, New York, NY 10017
BD
CRD#: 150217
New York, NY
Past

May 21, 2013 - January 5, 2016

FORGE MARKETS LLC

BD
CRD#: 166555
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(1/7/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 1/6/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/8/2010
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/13/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FOROS SECURITIES LLC
FOROS SECURITIES LLC

CRD#: 150217 / SEC#: , 8-68233

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
461 Fifth Avenue 17th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 17th Floor, New York, NY 10017
Phone number
(212) 340-7000
Established
Delaware since 04/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOROS ADVISORS LLCSOLE OWNER
DANIELS, RICHARD MATTHEWFINOP, CFO, PFO5877964
DOHERTY, JAMES HUGHPOO4197747
MANAS, JEAN EDWARDCEO, EXECUTIVE REPRESENTATIVE, INVESTMENT BANKING MANAGER2633932
POWELL, ROBERT TODDMANAGER, CCO, GENERAL COUNSEL, COO, AML COMPLIANCE OFFICER5330873

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.

Company Information

FOROS SECURITIES LLC

CRD#: 150217New York, NY 10017

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