James P. Powers
Professional summary
James Patrick Powers, who also goes by James P Powers, is a registered financial professional currently at IMC SECURITIES LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2010. James has worked at 2 firms and has passed the Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2018 - Present
IMC SECURITIES LLC
Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606November 8, 2010 - April 18, 2018
DRW SECURITIES, L.L.C.
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 57TO
Date: 1/2/2023
Securities Trader ExamCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 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.
