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DAVID K. POWERS
CRD#: 5202572
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1055 FRANKLIN AVENUE
SUITE 300
GARDEN CITY, NY 11530
SUITE 300
GARDEN CITY, NY 11530
0
Disclosures
18
Years of Experience
View By:
State Registrations
B
Alabama 7/18/2023
B
New Hampshire 10/11/2022
B
Arizona 9/29/2022
B
New Jersey 9/29/2022
B
California 9/29/2022
B
New York 9/29/2022
B
Colorado 9/29/2022
IA
New York 9/29/2022
B
Connecticut 9/29/2022
B
North Carolina 9/29/2022
IA
Connecticut 9/29/2022
B
Ohio 1/4/2023
B
Delaware 9/29/2022
B
Oregon 8/21/2024
B
District of Columbia 9/29/2022
B
Pennsylvania 9/29/2022
B
Florida 9/29/2022
B
Rhode Island 9/29/2022
B
Georgia 9/29/2022
B
South Carolina 7/18/2023
B
Illinois 9/29/2022
B
South Dakota 9/29/2022
B
Indiana 9/29/2022
B
Texas 9/29/2022
B
Maryland 9/29/2022
IA
Texas 9/29/2022
B
Massachusetts 9/29/2022
B
Virginia 9/29/2022
B
Michigan 10/10/2022
B
Washington 9/29/2022
B
Mississippi 7/18/2023
B
Wisconsin 9/29/2022
B
Nevada 9/29/2022
B
Wyoming 2/14/2024
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 9/29/2022
B
Registered with this firm since 9/29/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2019 - 10/19/2022 | Garden City, NY | |
B | 03/15/2013 - 10/19/2022 | Garden City, NY | |
B | 07/10/2009 - 03/25/2013 | NEW YORK, NY | |
IA | 05/29/2007 - 07/01/2009 | UNIONDALE, NY | |
B | 05/29/2007 - 07/01/2009 | UNIONDALE, NY | |
IA | 03/28/2007 - 05/29/2007 | UNIONDALE, NY | |
B | 10/11/2006 - 05/29/2007 | UNIONDALE, NY |
For additional information about investment advisers or broker-dealers, please visit
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.