SP
Steven L. Powell
MOMENTUM INDEPENDENT NETWORK
Sioux City, IA 51101
Some features on this profile are disabled
CRD#: 836610
SP
Professional summary
Steven Lee Powell is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Sioux City, Iowa.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 24 and Series 4 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lee Powell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Lee Powell'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
May 27, 2009 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 302 Jones St Ste 340, Sioux City, IA 51101RIA
BD
CRD#: 17587
Sioux City, IA
Current
January 22, 2009 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 302 Jones St Ste 340, Sioux City, IA 51101RIA
BD
CRD#: 17587
Sioux City, IA
Past
January 22, 2009 - January 22, 2009
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
January 1, 2008 - February 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SIOUX CITY, IA
Past
January 1, 2008 - February 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SIOUX CITY, IA
Past
December 30, 1999 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SIOUX CITY, IA
Past
September 29, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SIOUX CITY, IA
Past
September 18, 1985 - October 25, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 31, 1980 - September 16, 1985
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
September 11, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
April 21, 1977 - September 15, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
BD
CRD#: 202
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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
Arizona(1/22/2009)
RR
California(1/22/2009)
RR
Colorado(1/22/2009)
RR
Connecticut(9/26/2019)
RR
Florida(1/22/2009)
RR
Idaho(1/22/2009)
RR
Illinois(1/22/2009)
RR
Indiana(2/16/2022)
RR
Iowa(1/22/2009)
IAR
Iowa(5/27/2009)
RR
Kentucky(5/25/2010)
RR
Michigan(4/11/2022)
RR
Missouri(1/22/2009)
RR
Nebraska(1/22/2009)
RR
Nevada(1/22/2009)
RR
New Mexico(11/22/2017)
RR
Pennsylvania(9/19/2017)
RR
South Dakota(1/22/2009)
IAR
South Dakota(10/2/2018)
RR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(7/24/2019)
RR
Wisconsin(2/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
