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5320 Northshore Drive, North Little Rock, AR 72118 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2016-10-03 |
Branch Locations
5320 Northshore Drive, North Little Rock, AR 72118 • United States
3077 Broad Street Ste 2A, Chattanooga, TN 37408 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concert Wealth Management, Inc. | San Jose | CA | 09/2012 | 04/2017 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2012 | Present |
| Sowell Financial Services, Llc | North Little Rock | AR | 09/2016 | Present |
1) Sowell Management Services DBA KUMQUAT; INVESTMENT RELATED; 3077 BROAD ST. STE. D CHATTANOOGA, TN 37408; RIA; IAR/PRINCIPAL; START DATE: 9/2012; APPROX 20 HRS/WK; PROVIDE FEE BASED FINANCIAL PLANNING AND INVESTMENT MANAGEMENT TO CLIENTS 2) PKS FINANCIAL SERVICES, INVESTMENT RELATED; 80 State St, ALBANY, NY 12207; 9/13/2012-PRESENT, AGENT, FIXED INSURANCE SALES. 3) Gerson Lehrman Group Consulting. Not Investment Related. 60 East 42nd Street, 3rd Floor, New York, NY 10165. Consulting. Independent Consultant. 02/2018. 10 Hrs/Mo; 5 Hrs During Trading Hours. Consult/Provide Education on Industry Topics on a Confidential Basis. 4) DPL Financial Partners 26 W. Dry Crek Circle. Suite 800. Fixed Insurance. Advisor. Start 1/4/2023. 8 hours per month. Assist client to find best solutions for their needs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-12-20 |
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