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STEPHEN KENNETH POWELL
CRD#: 2201224
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 555 E. MAIN ST
SUITE 800
NORFOLK, VA 23510
SUITE 800
NORFOLK, VA 23510
View By:
9/26/2017
Customer Dispute
Denied
6/10/2013
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 6/1/2005
IA
Nevada 12/26/2018
IA
Alabama 5/5/2016
B
New Hampshire 3/7/2024
B
California 8/22/2007
B
New Jersey 6/1/2005
IA
California 6/1/2012
IA
New Jersey 9/4/2019
B
Colorado 7/10/2014
B
New Mexico 5/21/2014
IA
Colorado 6/20/2018
IA
New Mexico 5/4/2015
B
Connecticut 2/27/2025
B
New York 2/1/2018
IA
Connecticut 2/27/2025
B
North Carolina 6/1/2005
B
Florida 6/1/2005
IA
North Carolina 6/1/2005
IA
Florida 6/1/2005
B
Oregon 8/22/2007
B
Georgia 2/20/2009
IA
Oregon 11/18/2024
IA
Georgia 4/30/2019
B
Pennsylvania 6/1/2005
B
Hawaii 1/2/2013
B
Rhode Island 6/20/2017
B
Idaho 4/25/2013
IA
Rhode Island 6/23/2017
IA
Idaho 4/29/2013
B
South Carolina 1/12/2009
B
Iowa 9/9/2022
IA
South Carolina 4/7/2022
IA
Iowa 9/12/2022
B
Texas 6/1/2005
B
Kentucky 9/11/2024
IA
Texas 1/3/2014
IA
Kentucky 9/11/2024
B
Virginia 6/1/2005
B
Maine 3/30/2006
IA
Virginia 6/1/2005
IA
Maine 1/5/2021
B
Washington 6/1/2005
B
Maryland 6/1/2005
IA
Washington 9/2/2010
IA
Maryland 7/15/2019
B
West Virginia 8/1/2012
B
Massachusetts 10/29/2008
B
Wisconsin 1/27/2021
B
Nevada 12/7/2018
IA
Wisconsin 1/29/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2005
B
Registered with this firm since 6/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/1999 - 06/01/2005 | NORFOLK, VA | |
B | 07/13/1995 - 06/01/2005 | NEW YORK, NY | |
B | 06/24/1993 - 07/12/1995 | NEW YORK, NY | |
B | 03/19/1992 - 06/02/1993 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.