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Current Employers
Sowell Management

5320 Northshore Drive, North Little Rock, AR 72118 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2016-09-29
  • IA RA
    APPROVED
    Since 2016-09-29

Branch Locations

1603 22Nd Street Suite 202, West Des Moines, IA 50266 • United States

5320 Northshore Drive, North Little Rock, AR 72118 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Compensation Designs West Des Moines IA 01/1986 Present
Concert Wealth Management, Inc. San Jose CA 06/2016 04/2017
International Assets Advisory, Llc West Des Moines IA 07/2016 12/2016
Sowell Financial Services, Llc North Little Rock AR 09/2016 Present
  • 01/1986 → Present
    Compensation Designs
    West Des Moines, IA
  • 06/2016 → 04/2017
    Concert Wealth Management, Inc.
    San Jose, CA
  • 07/2016 → 12/2016
    International Assets Advisory, Llc
    West Des Moines, IA
  • 09/2016 → Present
    Sowell Financial Services, Llc
    North Little Rock, AR
Previous Registrations
  • 2016-06-07 → 2017-04-03
    Concert Wealth Management
    West Des Moines, IA
    San Jose, CA
  • 2003-02-07 → 2016-06-07
    Vsr Financial Services, Inc.
    West Des Moines, IA
    Overland Park, KS
    Dripping Springs, TX
    W Des Moines, IA
    Overland Park, KS
  • 2002-10-02 → 2003-02-07
    The Masters, Inc.
    W Desmoines, IA
  • 1999-01-05 → 2002-10-04
    West Des Moines, IA
Other Businesses

COMPENSATION DESIGNS,LLC 1603 22ND STREET, SUITE 202, WEST DES MOINES, IA 50266 - PROVIDING EMPLOYEE BENEFIT AND NON-QUALIFIED PROGRAMS FOR CORPORATE CLIENTS - LICENSED INSURANCE AGENT AND OWNER SINCE 1986 - APPROX 80 HRS/MO - COMMISSIONS. Executor/Trustee for relative's estate, since 2/26/2020, private residence address, Investment related because Tom Clark is the Trust's rep for the IAR Account, 15-20 hours per month, minimal hours during trading, Compensation: Typical Executor fees. Growth Management Group, Since 9/2017, 1100 Torrey Rd Fenton MI, Position: Senior Advisor, Nature & Duties: Assist employers in applying for tax credits, Not investment related, 20 hours per month, No hours during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-20
S63 Uniform Securities Agent State Law Examination 1995-07-24
  • S65 Uniform Investment Adviser Law Examination
    1999-07-20
  • S63 Uniform Securities Agent State Law Examination
    1995-07-24
Designations
Other Names
  • Tom Clark

View on SEC IAPD

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