# SOWELL FINANCIAL SERVICES, LLC

SOWELL FINANCIAL SERVICES, LLC of NORTH LITTLE ROCK, AR is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 127145
- Type: SEC-registered investment adviser
- SEC file number: 801-63991
- Location: 5320 NORTHSHORE DRIVE, NORTH LITTLE ROCK, AR, 72118
- Phone: 501-219-2434
- Latest filing: 2026-07-23
- Regulatory AUM: $4.8B
- Discretionary AUM: $4.7B
- Non-discretionary AUM: $70.3M
- Clients: 162
- Accounts: 16,763

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (25)

| 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 | — |


## Disclosures (64)

| 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 | — | — | — |


## Branch offices (28)

_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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/127145/brochure
- Similar advisers: https://search.stillhousedata.com/firm/127145/similar
- Related entities: https://search.stillhousedata.com/firm/127145/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/127145

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.