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JP

James H. Powell

ASHTON STEWART & CO.
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7301040
JP

Professional summary

James Harrison Powell II, who also goes by James Harrison Powell, is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 2020. James has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Harrison Powell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Harrison Powell II's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 6, 2020 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131
BD
CRD#: 112386
Miami, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Virginia
(12/18/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/6/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/22/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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.

Company Information

ASHTON STEWART & CO., INC.

CRD#: 112386Miami, FL 33131

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