WP
William J. Powers
QUINT CAPITAL
NEW YORK, NY 10169
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CRD#: 5901610
WP
Professional summary
William James Powers is a registered financial advisor currently at QUINT CAPITAL CORPORATION located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. William has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. J. Lauren Holding Co., Inc. (dba Advanced Data Integration Corp.), 846 Stratfield Road, Fairfield, CT 06852. President. Non-investment related. Start date - 09/2012 to present. Real estate holdings and management, compensation based on rents, maintenance costs and business expenses; 10 hours/month and 0/hours during regular market hours.
CRS (Client Relationship Summary) - RIA
Click below to view William James Powers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William James 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®
NoneExperience
Current
April 24, 2023 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave - 361w, New York, NY 10169RIA
BD
CRD#: 26586
NEW YORK, NY
Current
August 26, 2014 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave - 361w, New York, NY 10169RIA
BD
CRD#: 26586
NEW YORK, NY
Past
March 1, 2012 - September 19, 2014
DAVIS SECURITIES LLC
BD
CRD#: 138829
NEW YORK, NY
Past
March 29, 2011 - February 29, 2012
BAY CREST PARTNERS, LLC
BD
CRD#: 39944
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".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 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.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
Connecticut(9/23/2014)
IAR
Connecticut(4/24/2023)
RR
New York(8/26/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (8 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 162,105,666 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
