Cory B. 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.
Cory Brian Powers was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 1980. Cory had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2002 - June 30, 2023
WILSON-DAVIS & CO., INC.
December 19, 1989 - November 15, 2002
OLSEN PAYNE & COMPANY
August 12, 1982 - December 19, 1989
DILLON SECURITIES, INC.
March 18, 1982 - June 9, 1982
OTC NET INCORPORATED
September 26, 1980 - July 3, 1985
NORTHRIDGE SECURITIES, INC.
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 ExamSeries 55
Date: 12/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
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.
