CREWS & ASSOCIATES, INC. of LITTLE ROCK, AR is an SEC-registered investment adviser (CRD 8052). Regulatory assets under management: $181.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| James Stephen Jones | PRESIDENT, DIRECTOR | — |
| Joseph Parrott Bumpers | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | — |
| Dennis Charles Clay | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | — |
| John Reynolds Rutledge | 12.240 % OWNER & CHM FIRST SECURITY BANCORP AND CHM OF CREWS CORE HOLDING COMPANY | — |
| Scott Arthur Beardsley | SECRETARY OF THE BOARD | — |
| Damon Christian Meyer | CHIEF COMPLIANCE OFFICER | — |
| Nathaniel Thomas Rutledge | 12.686 OWNER FIRST SECURITY BANCORP & BOARD MBR CREWS CORE HOLDING COMPANY BOARD MEMBER | — |
| JONES CRAIG STEPHEN | PRESIDENT, DIRECTOR | — |
| BUMPERS JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | — |
| RUTLEDGE JOHN REYNOLDS | 12.240 % OWNER & CHM FIRST SECURITY BANCORP AND CHM OF CREWS CORE HOLDING COMPANY | — |
| RUTLEDGE JOHN THOMAS | 12.686 OWNER FIRST SECURITY BANCORP & BOARD MBR CREWS CORE HOLDING COMPANY BOARD MEMBER | — |
| CLAY DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | — |
| BEARDSLEY SCOTT ARTHUR | SECRETARY OF THE BOARD | — |
| MEYER DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 15 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-12-08 | regulatory | ALLEGATIONS THAT THE FIRM SOLD MUNI BONDS TO AN AFFILIATE BANK WITH MARKUP - IN CONFLICT WITH A SELLING ARRANGEMENT AND POTENTIAL VIOLATION OF MSRB RULES G-18 AND G-17. DISPOSITION, ON 05-23-2023 THE FIRM PAID THE FINE OF $50,000. BEFORE 60 DAYS FROM THE FINAL AWC THE FIRM WILL CERTIFY IN WRITING TH… | Final | $50K |
| 2021-08-26 | regulatory | WILLFULL VIOLATION OF MSRB RULES G-17 AND G-27 AND BY REASON THEREOF, SECTION 15B(C)(1) OF THE EXCHANGE ACT. | Final | $200K |
| 2019-04-12 | regulatory | IN THE MATTER OF CREWS & ASSOCIATES, INC.; ARKANSAS SECURITIES DEPARTMENT CASE NO. S-19-0005; ORDER NO. S-19-0005-19-OR01. CONSENT ORDER ENTERED WITH CREWS & ASSOCIATES, INC. FOR CERTAIN BOOKS AND RECORDS VIOLATIONS OF THE ARKANSAS SECURITIES ACT AND THE RULES OF THE ARKANSAS SECURITIES COMMISSIONER… | Final | $5K |
| 2015-09-30 | regulatory | SEC ADMIN RELEASES 33-9953; 34-76050; SEPTEMBER 30, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST CREWS & ASSOCIATES, INC., ("RESPONDENT"). RESPONDENT WIL… | Final | $250K |
| 2015-07-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT ERRONEOUSLY BELIEVED THAT THE LIST OFFERING PRICE/TAKEDOWN SPECIAL CONDITION INDICATOR (SCI) WAS ONLY NECESSARY FOR TRADES REPORTED OUTSIDE OF THE GENERAL 15-MINUTE REQUIREMENT. CONSEQ… | Final | $15K |
| 2013-07-09 | regulatory | A CONSENT ORDER ("ORDER") APPROVED BY THE ARKANSAS SECURITIES COMMISSIONER ON JULY 9, 2013, FOUND THAT CREWS & ASSOCIATES, INC. ("CREWS") (CRD# 8052) VIOLATED THE ARKANSAS SECURITIES ACT ("ACT"), THE RULES OF THE ARKANSAS SECURITIES COMMISSIONER ("RULES"), AND CERTAIN FINRA RULES IN ITS RECOMMENDATI… | Final | — |
| 2012-04-20 | regulatory | MSRB RULES G-8, G-14 - CREWS & ASSOCIATES, INC. DID NOT ACCURATELY CAPTURE THE CORRECT EXECUTION TIME FOR CERTAIN MUNICIPAL SECURITIES TRANSACTIONS AND, AS A RESULT, THE FIRM FAILED TO REPORT THE CORRECT TRADE TIME TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN MUNICIPAL SECURITIES TRANSACT… | Final | $5K |
| 2010-03-24 | regulatory | NASD RULES 2110, 6230(A), 6230(C)(8) - CREWS & ASSOCIATES, INC. FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. | Final | $5K |
| 2007-12-18 | regulatory | DURING THE CALENDAR YEARS 2003 AND 2004 FINRA DECIDED THERE WERE 14 INSTANCES CREWS EXECUTED TRANSACTIONS WITH CUSTOMERS AT PRICES DETERMINED BY FINRA TO BE UNFAIR AND UNREASONABLE WHILE TAKING INTO CONSIDERATION ALL RELEVANT FACTS SURROUNDING THE MARKET FOR SUCH TRANSACTIONS IN VIOLATION OF MSRB RU… | Final | $28K |
| 2006-06-23 | regulatory | MSRB RULE G-36 - RESPONDENT MEMBER FAILED TO TIMELY REPORT MUNICIPAL SECURITIES RULEMAKING BOARD FORMS G-36S WITH THE MSRB. | Final | $5K |
| City | State | Employees | Phone |
|---|---|---|---|
| SEARCY | AR | 2 | 800-819-0828 |
| SEARCY | AR | 1 | 5012793435 |
| CONWAY | AR | 1 | 501-450-1871 |
| MOUNTAIN HOME | AR | 1 | 5012174514 |
| SPRINGDALE | AR | 1 | 479-751-3400 |
| CLARKSVILLE | AR | 1 | 479-979-6206 |
| — | — | 1 | 3323731784 |
| ROGERS | AR | 1 | 479-751-3400 |
| SEARCY | AR | 1 | 501-207-6640 |