Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you S? Claim Your ProfileS. Paul Powers II has been in the financial services industry since 1978. Currently, S. Paul Powers II is an investment advisor representative with Morgan Stanley. Previously, S. Paul Powers II was employed by Citigroup Global Markets Inc., Lehman Brothers Inc. and E.F. Hutton & Company Inc., and Johnston, Lemon & Co. Incorporated. S. Paul Powers II is registered in 45 states for both broker-dealer and investment advisor activities and has a combined total of 4 approved SRO registrations and 45 state registrations, including a Series 7, Series 63, Series 3, Series 8, Series 9, Series 10, Series 24 and Series 65 licenses. S. Paul Powers II holds a Series 65, Uniform Investment Adviser Law Examination and a Series 63, Uniform Securities Agent State Law Examination.
Lakewood Ranch, FL
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
06/01/2009 - Present
WEALTHPENN.COMLLC (Lakewood Ranch FL)
VA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MCLEAN VA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/05/1983 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
11/27/1978 - 07/14/1983
JOHNSTON, LEMON & CO. INCORPORATED
IA
Issued 3/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/18/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/9/1982
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 5/7/1981
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1983
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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