Raymond William Powell

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

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

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-03-21
TX	RA	APPROVED_RES	2018-01-02
CT	RA	APPROVED	2017-09-13

FL RA
APPROVED

Since 2018-03-21
TX RA
APPROVED_RES

Since 2018-01-02
CT RA
APPROVED

Since 2017-09-13

Branch Locations

4848 Ne 23Rd Ave. Unit 1C 3Rd Floor, Fort Lauderdale, FL 33308 • United States

42 Waterbury Rd., Prospect, CT 06712 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
R.W. Powell Ent., Inc.	Waterbury	CT	01/1973	Present
Cambridge Investment Research, Inc	Fairfield	IA	10/2011	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	09/2017	Present

01/1973 → Present

R.W. Powell Ent., Inc.

Waterbury, CT
10/2011 → Present

Cambridge Investment Research, Inc

Fairfield, IA
09/2017 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

1985-11-21 → 2019-09-25

Powell'S Financial Planning Service

Prospect, CT
2005-10-05 → 2011-11-04

Woodbury Financial Services, Inc.

Prospect, CT

Prospect, CT

Other Businesses

1) RAYMOND W. POWELL 417 SMITH POND RD. WATERTOWN, CT 06795. BEGAN 06/01/1976 AS AGENT FOR FIXED INSURANCE, LIFE, LONG TERM CARE, DISABILITY, AND FIXED ANNUITY EXCLUDING EIA. NOT INVESTMENT RELATED. DEVOTES 5 HRS/MNTH. NONE DURING TRADING. 2) POWELL'S INCOME TAX SERVICE 42 WATERBURY RD. PROSPECT, CT 06712. BEGAN 01/01/1972 AS ENROLLED AGENT, PREPARING TAXES AND TAX RETURNS. NOT INVESTMENT RELATED. DEVOTES 20 HRS/MNTH. 1 HR DURING TRADING. 3) RWP ENTERPRISES INC., PROSPECT, CT. BEGAN ON 01/01/05. RENTAL PROPERTY. SPENDS 1 HOUR/MONTH, NONE DURING TRADING. 4) CIRA 1776 Pleasant Plain Road, Fairdfield IA 52556. Advisory Rep of a Registered Investment Advisor. 9/14/2017. 30/ weekly, 25/ trading. See employment history for start date. 5) POWELL'S FINANCIAL PLANNING SERVICE, LLC, 42 Waterbury Road, Prospect CT 06712, United States, 11/15/2021, Owner, NIR, 1 HR/MO - 0 HR/MO TRADING 6) POWELL`S FINANCIAL, 42 Waterbury Rd, Prospect CT 06712, United States, 10/28/2011, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2002-01-07

S63 Uniform Securities Agent State Law Examination

2002-01-07

Designations

Certified Financial Planner

Other Names

Raymond William Powell

View on SEC IAPD