ARVEST WEALTH MANAGEMENT of LOWELL, AR is an SEC-registered investment adviser (CRD 42057). Regulatory assets under management: $3.4B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 70 people.
| Name | Role | Location |
|---|---|---|
| Karla Payne | DIRECTOR | — |
| John Arleigh Perron | ARVEST1 MANAGER / MANAGER OF CLIENT SERVICES, MUNICIPAL PRINCIPAL; PRINCIPAL OPERATIONS OFFICER; PRIVATE SECURITIES OFFERINGS PRINCIPAL (+1 more) | — |
| Jim C. Walton | SHAREHOLDER | — |
| Gretchen Daphyne Brewer | FINANCIAL AND OPERATIONAL PRINCIPAL AND PRINCIPAL FINANCIAL OFFICER | — |
| Dee Garrison Derryberry | COO; DIRECTOR | — |
| James Matthew Machen | DIRECTOR | — |
| Cara Clugston James | DIRECTOR | — |
| Barry Christopher Rooker | SENIOR DIRECTOR OF SALES/DIRECTOR | — |
| Brian Andrew Smith | DIRECTOR, EXECUTIVE VICE PRESIDENT, SENIOR DIRECTOR OF SALES, DIRECTOR OF RETIREMENT PLAN CONSULTING | — |
| Kendra Bradford Cain | CHIEF COMPLIANCE OFFICER; DIRECTOR | — |
| Tabitha Hubbs Lipscomb | DIRECTOR | — |
| Asa Anderson Cottrell | CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR | — |
| Donny Ray Jr Rogers | PRESIDENT INVESTMENT SERVICES, SECRETARY OF BOARD, DIRECTOR | — |
| Rodney Leman Shepard | DIRECTOR | — |
| Bradley Jean Crain | DIRECTOR | — |
| Amy Marie Morbeck | DIRECTOR | — |
| Yurik Iver Paroubek | DIRECTOR | — |
| Samuel Robson Walton | SHAREHOLDER | — |
| Kirk Jodell Hays | DIRECTOR | — |
| Kenneth Kevin Sabin | DIRECTOR | — |
| Craig Alan Rivaldo | DIRECTOR | — |
| Laura Jean Andress | DIRECTOR | — |
| KELLY ROBERT | DIRECTOR | — |
| PARKS JACK MELTON JR | CHIEF EXECUTIVE OFFICER | — |
| JARRETT CALVIN BUFORD | PRESIDENT/CFO/COO; PRESIDENT/CFO/COO/DIRECTOR; PRESIDENT/CFO/DIRECTOR (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-05-23 | regulatory | FINRA ALLEGED THAT AWM VIOLATED RULES 4 AND 5 OF REGULATION S-P, NASD RULE 3010(A)(2) AND (B)(1), AND FINRA RULES 3110(A)(2), (B)(1) AND 2010 BY, BETWEEN JANUARY 2009 AND DECEMBER 2016, FAILING TO PROVIDE REQUIRED INITIAL AND ANNUAL PRIVACY NOTICES TO CERTAIN BROKERAGE CUSTOMERS AND ALSO FAILING TO… | Final | $150K |
| 2013-05-09 | regulatory | ALLEGED THAT AAM FAILED TO COMPLY WITH AND TO ENFORCE ITS APPLICABLE WRITTEN POLICIES AND PROCEDURES OF REQUIRING THE COMPLETION OF THE AAM VERBAL COMPLAINT FORM AS TO 3 AAM CUSTOMERS. | Final | $20K |
| 2012-05-05 | regulatory | ALLEGED THAT CCO FAILED TO COMPLY WITH APPLICABLE WRITTEN POLICIES AND PROCEDURES OF AAM REQUIRING THE COMPLETION OF VERBAL COMPLAINT FORM AS TO 3 AAM BROKER/DEALER CUSTOMERS. NO ALLEGATION OF ILLEGAL ACTIVITY, OR THAT ANY CUSTOMER SUFFERED FINANCIAL LOSS. | Final | $20K |