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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Powers is a financial advisor who has been in the industry since April 24, 2004. Samuel is currently registered with Raymond James & Associates, Inc. and has been with the firm since February 20, 2020. Samuel is a Registered Representative and an Investment Advisor Representative. Samuel provides financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions.
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.
Please see note in schedule d - miscellaneous
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
CO
02/20/2020 - Present
Raymond James & Associates, Inc. (DENVER CO)
OH
09/12/2013 - 09/20/2019
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
KY
03/05/2013 - 09/19/2013
CITIGROUP GLOBAL MARKETS INC. (FLORENCE KY)
OH
07/19/2010 - 11/20/2012
MORGAN STANLEY (COLUMBUS OH)
NY
08/12/2003 - 10/10/2011
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 02/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/23/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2019
Series 4 - Registered Options Principal Examination
BC
Issued 11/01/2013
Series 24 - General Securities Principal Examination
BC
Issued 07/31/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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