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5320 Northshore Drive, North Little Rock, AR 72118 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-01-21 |
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 |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2012 | Present |
| Concert Wealth Management, Inc. | San Jose | CA | 09/2012 | 04/2017 |
| Sowell Management Services | North Little Rock | AR | 01/2017 | 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)OPI; PRIVATE ENTITY; VISION FUND I LLC; COMMITMENT DATE OF 6/30/2015; 3) Gerson Lehrman Group (GLS), subject matter expert to GLS, less than 10 hours annually 60 E 42nd St 3rd Floor NY, NY 10165 03/01/2014 start date 4) Kumquat Business Consulting, corporate consulting and advisory services,804 joy lane, Chattanooga TN 37421, Start date 01/01/2015, Monthly hours = 10, 75% during market hours 5)Bryan College-Not investment related-Various activities and functions-Includes committee review of the college's finances as prepared by the executives and CPA audits. Committee decision making regarding use of funds and authorization of executives' duties and college initiatives. 721 Bryan Drive, Dayton, TN 73321-Education-Trustee-9/2018-4 hrs/mth-0 during trading hrs-Provide direction and oversight of the college executives in implementing the directives of the college. 6) CEFEX Not investment related. Consulting on fiduciary issues. Consultant. 2 Chatham Center Pittsburgh PA 15219. 7/1/2014. .5 hours/.5 during trading. Infrequently CEFEX may ask for an AIFA certified individual to help companies understand and complete its fiduciary evaluation template and deliver its findings regarding conformance to fiduciary standards and best practices. 7) PKS FINANCIAL SERVICES, INVESTMENT RELATED; 80State St, ALBANY, NY 12207; 8/14/2017-PRESENT, AGENT, FIXED INSURANCE SALES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-07-05 |
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