Individual Firm
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ROBERT FRANCIS POWERS
ROBERT FRANCIS POWERS JR, ROBERT FRANCIS POWERS JR
CRD#: 366966
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1108 THIRD AVE STE 500
RIVER TOWER BLDG
HUNTINGTON, WV 25701
RIVER TOWER BLDG
HUNTINGTON, WV 25701
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7/7/2005
Customer Dispute
Denied
8/6/2004
Customer Dispute
Closed-No Action
3/5/2004
Customer Dispute
Settled
11/18/2003
Customer Dispute
Settled
10/12/2000
Customer Dispute
Settled
State Registrations
B
Arizona 10/31/2014
IA
Kentucky 6/21/2024
B
Colorado 2/11/2022
B
Ohio 10/31/2014
B
Florida 10/31/2014
B
Pennsylvania 12/6/2024
B
Georgia 12/23/2014
B
Tennessee 8/9/2019
B
Hawaii 12/23/2014
B
West Virginia 10/31/2014
B
Kentucky 11/3/2014
IA
West Virginia 12/18/2014
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/31/2014
B
Registered with this firm since 10/31/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/1991 - 11/01/2014 | HUNTINGTON, WV | |
B | 01/21/1991 - 11/01/2014 | HUNTINGTON, WV | |
B | 03/28/1972 - 01/22/1991 | NEW YORK, NY |
HUNTINGTON, WV
01/21/1991 - 11/01/2014
HUNTINGTON, WV
01/21/1991 - 11/01/2014
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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.