SOWELL FINANCIAL SERVICES, LLC of NORTH LITTLE ROCK, AR is an SEC-registered investment adviser (CRD 127145). Regulatory assets under management: $4.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| William Chesley Sowell | CHIEF EXECUTIVE OFFICER; FOUNDER AND CHIEF STRATEGY OFFICER; MANAGING MEMBER/CEO | North Little Rock, AR |
| Norman Paul | TRUSTEE | Vaughan, A6 |
| Cynthia Sowell | EVP; MEMBER | — |
| Rodney Kresge | CHIEF COMPLIANCE OFFICER | — |
| Daryl T Seaton | PRESIDENT; PRESIDENT AND CEO | — |
| Theodore Paul Norman | TRUSTEE | — |
| Nancy Norman | TRUSTEE | — |
| Charles Clifford Hicks | CHIEF CUSTOMER OFFICER | — |
| KRUEGER JOHN WILLIAM | CHIEF OPERATING OFFICER | — |
| JACKSON PAUL BRIAN | EXECUTIVE VICE PRESIDENT, MEMBER; EXECUTIVE VICE PRESIDENT, MEMBER,; OWNER | — |
| PAGE ROGER WAYNE | EXECUTIVE VICE PRESIDENT, MEMBER | — |
| SOWELL WILLIAM CHESLEY | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER/CEO; MANAGING MEMBER/CEO/CCO (+6 more) | — |
| MOENNING DAVID DONALD | CHIEF INVESTMENT OFFICER | — |
| SOWELL CYNTHIA | MEMBER | — |
| KRESGE RODNEY | CHIEF COMPLIANCE OFFICER | — |
| COLLINS KIMBERLY LYNN | CHIEF COMPLIANCE OFFICER | — |
| GARMON JOHN WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| HICKS CHARLES CLIFFORD | CHIEF CUSTOMER OFFICER; CHIEF OPERATING OFFICER; PRESIDENT | — |
| STALCUP JEREMY MARK | CCO; CHIEF COMPLIANCE OFFICER | — |
| SYLER GREGORY | CHIEF COMPLIANCE OFFICER | — |
| INGLIS JASON FAIRBANKS | CHIEF REVENUE OFFICER | — |
| BATES MICHAEL LINDSAY | GENERAL COUNSEL | — |
| SEATON DARYL T | CHIEF OPERATING OFFICER; PRESIDENT | — |
| SHAVER LEILA MEHRIZI | CHIEF COMPLIANCE OFFICER | — |
| Norman Nancy | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-01-13 | regulatory | MR. PAUL ALLEGEDLY BORROWED FUNDS FROM A CLIENT, PROVIDED FALSE INFORMATION TO HIS FIRM ABOUT THE LOAN, PROVIDED FALSE INFORMATION TO HIS FIRM ABOUT OUTSIDE BUSINESS ACTIVITIES, INTRODUCING CLIENTS TO BUSINESS OUTSIDE HIS FIRM AND PROVIDING FALSE INFORMATION TO HIS FIRM ABOUT OUTSIDE INVESTMENTS | Final | $5K |
| 2012-04-20 | regulatory | A RULE 2010, NASD RULES 2110, 2370,3030. MRPAUL ENGAGED IN OUTSIDE BUSINESS ACTIVITIES WITHOUT PROVIDING NOTIFICATION TO HIM MEMBER FIRM. MR. PAUL OWNED AND OPERATED REAL ESTATE DEVELOPMENT COMPANIES THAT WERE NOT DISCLOSED TO HIS FIRM. MR. PAUL PROVIDED INACCURATE INFORMATION TO HIS FIRM. MR. PAUL… | Final | $20K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |
Showing 15 of 28 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| GIG HARBOR | WA | 7 | 253-948-3723 |
| GOOD HOPE | GA | 4 | 630-478-9785 |
| LA PLATA | MD | 3 | 3018850955 |
| ROGERS | AR | 3 | 5793355102 |
| WEST DES MOINES | IA | 2 | 515-280-4741 |
| WILLIAMSBURG | VA | 2 | 7579415200 |
| CHATTANOOGA | TN | 2 | 423-531-0204 |
| FLAGSTAFF | AZ | 2 | 928-212-8000 |
| SCOTTSDALE | AZ | 2 | 480-306-4566 |
| NORMAN | OK | 2 | 4057015551 |
| CAYUCOS | CA | 2 | 8059005500 |
| HOUSTON | TX | 1 | 512-787-3328 |
| LITTLE ROCK | AR | 1 | 3018850955 |
| CAMDEN | AR | 1 | 8708363000 |
| LOS ANGELES | CA | 1 | (424) 236-0400 |