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Inactive

Harvey I Spira

Sowell Management

North Little Rock, AR

New York, NY

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Current Employers
Sowell Management

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-02-28
  • NY RA
    APPROVED
    Since 2021-02-28

Branch Locations

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

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Asset Mgmt East Hampton NY 12/2013 05/2020
National Securities Corp East Hampton NY 12/2013 05/2020
Virtue Capital Management, Llc Brentwood TN 06/2020 04/2021
Prescap Advisors, Llc New York NY 11/2020 Present
Sowell Management New York NY 02/2021 Present
  • 12/2013 → 05/2020
    National Asset Mgmt
    East Hampton, NY
  • 12/2013 → 05/2020
    National Securities Corp
    East Hampton, NY
  • 06/2020 → 04/2021
    Virtue Capital Management, Llc
    Brentwood, TN
  • 11/2020 → Present
    Prescap Advisors, Llc
    New York, NY
  • 02/2021 → Present
    Sowell Management
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-21
S63 Uniform Securities Agent State Law Examination 1984-04-25
  • S65 Uniform Investment Adviser Law Examination
    1998-10-21
  • S63 Uniform Securities Agent State Law Examination
    1984-04-25

View on SEC IAPD

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MAI CAPITAL MANAGEMENT, LLC
PFS INVESTMENTS INC.
CORKERN & CO., INC.

Other Investors

JOHN KEVIN STOPHEL
JOYCE MICHELE COOL
DARYL T SEATON
JASON ALLAN STROEDE
David Neil Newsom
David Steven Swan
Bergen R Palmer
LESLIE FERRONE

Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NORTH LITTLE ROCK, AR
LPL FINANCIAL LLC · LITTLE ROCK, AR
LUKAS TOTAL WEALTH · NORTH LITTLE ROCK, AR
EDWARD JONES · Little Rock, AR
LEGACY CAPITAL WEALTH PARTNERS, LLC · LITTLE ROCK, AR
MAI CAPITAL MANAGEMENT, LLC · Little Rock, AR
PFS INVESTMENTS INC. · LITTLE ROCK, AR
LPL FINANCIAL LLC · LITTLE ROCK, AR

More in North Little Rock, AR

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