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Philip James Powers

Barclays Capital Inc.

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About Philip James Powers

Philip James Powers is a securities professional with over 20 years of experience in the financial industry. Philip has been registered with the Financial Industry Regulatory Authority (FINRA) since 1999. Philip is currently registered with Barclays Capital Inc. in New York, New York. Previously, Philip was affiliated with MARK J. MULLER EQUITIES, INC., FERRETTI GROUP, INC., RAYMOND C. FORBES & CO., INC. and TAG SECURITIES CORP. Philip holds a Series 7, 63 and SIE license.

Firm Information

Philip Powers is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Philip Powers’s Registration & Firm History

NY

01/06/2023 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

12/03/2020 - 11/28/2022

MARK J. MULLER EQUITIES, INC. (New York NY)

NY

11/29/2018 - 04/01/2020

FERRETTI GROUP, INC. (NEW YORK NY)

NY

08/30/2018 - 12/03/2018

MARK J. MULLER EQUITIES, INC. (New York NY)

NY

03/25/2015 - 08/31/2018

FERRETTI GROUP, INC. (NEW YORK NY)

NY

09/10/2009 - 04/02/2015

RAYMOND C. FORBES & CO., INC. (NEW YORK NY)

NY

04/03/2008 - 06/13/2008

TAG SECURITIES CORP. (NEW YORK NY)

NY

06/30/1997 - 02/04/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/31/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/04/2003

Series 7 - General Securities Representative Examination

BC

Issued 06/24/1999

Series 25 - NYSE Trading Assistant Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Philip James Powers.
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