Karri A. Powers
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.
Karri A Powers, who also goes by Karri Powers Johnson, Karri Powers Moosberg, Karri Aliceon Powers, Karri Powers, was a registered financial professional .
Karri is a previously registered financial professional and started their career in finance in 2007. Karri had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2014 - November 17, 2014
WFG INVESTMENTS, INC.
January 21, 2011 - June 14, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 12, 2010 - December 2, 2010
MML INVESTORS SERVICES, LLC
November 9, 2007 - December 15, 2009
HORNOR, TOWNSEND & KENT, LLC
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
Current Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
