SP
Steven E. Powers
INGALLS & SNYDER
NEW YORK, NY 10020
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CRD#: 5734702
SP
Professional summary
Steven Edward Powers, CFA, who also goes by Steven Powers, is a registered financial advisor currently at INGALLS & SNYDER, LLC located in New York, New York.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Steven has worked at 3 firms and has passed the Series 63, Series 55, Series 7 and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Powers
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.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Edward Powers'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®
Experience
Current
March 26, 2024 - Present
INGALLS & SNYDER, LLC
Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020RIA
BD
CRD#: 2288
NEW YORK, NY
Past
March 8, 2013 - May 31, 2013
DIRECT ACCESS PARTNERS LLC
BD
CRD#: 120950
NEW YORK, NY
Past
November 20, 2009 - January 22, 2013
TD PRIME SERVICES LLC
BD
CRD#: 1914
NEW YORK, NY
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".
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.Highlighted states indicate IAR registrations
IAR
Arizona(4/10/2024)
IAR
California(3/26/2024)
IAR
Colorado(3/26/2024)
IAR
Connecticut(3/26/2024)
IAR
Delaware(3/26/2024)
IAR
Florida(6/4/2024)
IAR
Kansas(3/26/2024)
IAR
Maine(3/26/2024)
IAR
Massachusetts(4/18/2024)
IAR
New Hampshire(3/26/2024)
IAR
New Jersey(3/27/2024)
IAR
New York(3/26/2024)
IAR
North Carolina(3/26/2024)
IAR
Ohio(3/26/2024)
IAR
South Carolina(3/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 5/6/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 6/28/2010
NYSE Trading Assistant ExaminationCurrent Firm
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Mailing Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Phone number
(212) 269-7800
Established
New York since 01/02/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
84
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| I&S GROUP, LLC | PARENT HOLDING COMPANY | |
| BOUCHER, THOMAS ONEIL JR | MANAGING DIRECTOR | 730430 |
| CASE, ROBERT ANTHONY | CHIEF EXECUTIVE OFFICER | 1367765 |
| CASE, ROBERT ANTHONY | SENIOR MANAGING DIRECTOR | 1367765 |
| DOUGHERTY, JOHN JOSEPH | MANAGING DIRECTOR | 1960029 |
| GARRISON, APHRODITE MAVRICOS | MANAGING DIRECTOR | 1763811 |
| GRISANTI, ADAM F | EXECUTIVE DIRECTOR | 4413657 |
| GRISANTI, ADAM F | CHIEF OPERATIONS OFFICER | 4413657 |
| GRISANTI, ADAM F | CHIEF FINANCIAL OFFICER | 4413657 |
| JANOVIC, ADAM DAVID | MANAGING DIRECTOR | 1521203 |
| LANE-ZUCKER, KEITH SIMON | MANAGING DIRECTOR | 4050531 |
| MCLEAN, ALICE BARZUN | MANAGING DIRECTOR | 4477581 |
| MEEHAN, SEAN PATRICK | MANAGING DIRECTOR | 5033839 |
| PARK, CHRISTIAN CHIHONG | EXECUTIVE DIRECTOR | 3106787 |
| PARK, CHRISTIAN CHIHONG | CHIEF COMPLIANCE OFFICER | 3106787 |
| RIEGEL, GUY RICHARDS | MANAGING DIRECTOR | 1050269 |
| THATCHER, JAMES EDWIN | MANAGING DIRECTOR | 5872101 |
| WESTON, CHRISTINE ELIZABETH | MANAGING DIRECTOR | 1136404 |
Regulatory assets under management
| Total Number of Accounts | 4,189 |
| AUM (Assets Under Management) | $ 6,897,915,721 |
Disclosures
| Regulatory Event | 18 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/22/2024 | ||
| 09/27/2023 |
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.
