Joseph Howard Powers

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-11-05
GA	RA	APPROVED	2020-10-06
SC	RA	APPROVED	2015-01-23
TX	RA	APPROVED	2005-07-27

NC RA
APPROVED

Since 2024-11-05
GA RA
APPROVED

Since 2020-10-06
SC RA
APPROVED

Since 2015-01-23
TX RA
APPROVED

Since 2005-07-27

Branch Locations

Mt. Pleasant, SC • United States

100 Brampton Ave, Statesboro, GA 30458 • United States

75 Port City Lndg, Mount Pleasant, SC 29464 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Columbia	SC	01/1994	Present

01/1994 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Columbia, SC

Other Businesses

I*3496277, Entity Type: Entity Charitable, Name of OBA: Landmark For Families, Address: north charleston, South Carolina, 29405, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 02/01/2026, No Hours: 5 Monthly, No Hours during Trading: 2 Monthly, Duties: Board member. Attend meetings. Assist with service initiatives. Placement home and services for foster children throughout the Charleston, SC Market

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-10-15
S63	Uniform Securities Agent State Law Examination	1997-09-22

S65 Uniform Investment Adviser Law Examination

2004-10-15
S63 Uniform Securities Agent State Law Examination

1997-09-22

Other Names

Joseph H Powers
Joe Powers

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