Richard K Powers
Investment adviser representative at RBC Rochdale, LLC
11 yearsExperience
4 statesRegistered in
$73BFirm assets
40 yearsFirm in business
Are you Richard K Powers? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
11 years in the industry.
- RBC Rochdale, LLCNov 2023 to now
- Cnr Securities, LLCOct 2023 to now
- Mbs Source Etrading, IncSep 2022 to Aug 2023
- E*trade Capital Management LLCNov 2018 to Sep 2022
- E*trade Securities LLCNov 2018 to Sep 2022
- UBS Financial Services Inc.Aug 2015 to Nov 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2003
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 4 states (CA, NJ, NV, NY).
RBC Rochdale, LLC
$73BAssets managed
17,054Clients
119Advisers
40 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4707797
- Firm CRD
- 117198