Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Powner is an active investment advisor with a wide scope of experience in the financial industry. James Powner has worked with Merrill Lynch, Pierce, Fenner & Smith Inc. since August 1999. James Powner is registered with FINRA and several states, including Texas and New Jersey. James Powner has held prior positions with Sherwood Capital, Inc., Westfield Financial Corporation, Hibbard Brown & Co., Inc., and H.J. Meyers & Co., Inc..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
10/07/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
08/19/1994 - 05/09/1995
H.J. MEYERS & CO., INC. (ROCHESTER NY)
NY
05/24/1988 - 09/15/1994
HIBBARD BROWN & CO., INC. (NEW YORK NY)
NY
08/05/1994 - 08/19/1994
WESTFIELD FINANCIAL CORPORATION (NEW YORK NY)
NA
04/19/1988 - 05/31/1988
SHERWOOD CAPITAL, INC.
BOTH
Issued 10/08/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/03/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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