David Powell has been President / Chief Compliance Officer of Powell Financial since October 2007, is a control person of the firm and directly owns 75% or more of it.
Powell Financial, Inc. is a Cornelius, NC firm with $229M under management, 108 clients and 2 advisers in one office, as of its February 2026 filing.
David Powell’s longest registration is the current one, 19 years at Powell Financial since 2007. Before joining Powell Financial in 2007, David Powell was registered through Network Planning Advisors, L.L.C. and Northwestern Mutual Wealth Management Company.
- Network Planning Advisors, L.L.C.– · under a yearCharlotte, NC · Adviser representative · Firm CRD 109000
- Northwestern Mutual Wealth Management Company– · 2 yearsMilwaukee, WI · Adviser representative · Firm CRD 109729
Investment adviser representative registrations
David Powell is registered as an investment adviser representative in North Carolina, since October 2007.
- North CarolinaSince 15 October 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 4 October 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 6 December 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 September 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 September 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- David Lemal Powell
- CRD
- 2510305
- Firm
- Powell Financial · CRD 144230
- Role
- President / Chief Compliance Officer
- Office
- 17818 STATESVILLE RD, SUITE 221, Cornelius, NC 28031
- Registration
- Investment adviser registration
- In the industry since
- September 1994
- Disciplinary history
- Not yet shown here · SEC record
Where does David Powell work?
David Powell has been President / Chief Compliance Officer of Powell Financial, Inc. since October 2007, and is a control person of the firm.
Is David Powell a financial advisor?
Yes. David Powell has a current investment-adviser registration in North Carolina, through Powell Financial since October 2007.
How many years of experience does David Powell have?
David Powell has 32 years in the financial industry, since September 1994, across 3 adviser firms.
What exams has David Powell passed?
David Powell has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in September 1994. FINRA credited David Powell with the SIE, which began in October 2018.
Where did David Powell work before Powell Financial?
Before Powell Financial, David Powell was registered through Network Planning Advisors, L.L.C., July 2005 to January 2006; Northwestern Mutual Wealth Management Company, March 2005 to April 2007.
Where is David Powell based?
David Powell’s registered office is in Cornelius, NC.
Is David Powell registered with FINRA?
No. David Powell has no current broker registration.
How can I verify David Powell’s record?
Search CRD 2510305 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Powell’s full registration record.