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5320 Northshore Drive, North Little Rock, AR 72118 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-09-11 |
| NM | RA | APPROVED | 2017-08-31 |
Branch Locations
6565 Americas Parkway Ne, Suite 200, Albuquerque, NM 87110 • United States
5320 Northshore Drive, North Little Rock, AR 72118 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfg Investments Inc | Albuquerque | NM | 03/2010 | 08/2017 |
| Sowell Management Services | North Little Rock | AR | 08/2017 | Present |
| Veritas Independent Partners | Conway | AR | 09/2017 | Present |
1.)LAUX EVANS AND ASSOCIATES, LLC, DBA-Harvest Moon Wealth Advisors; NON-INVESTMENT RELATED, 6565 AMERICAS PARKWAY NE, STE 200, ALBUQUERQUE, NM 87110, ENTITY TO PAY BUSINESS EXPENSES, MANAGING MEMBER/AGENT, START DATE 12/24/14, 2 HRS/MTH, 2 HRS/MTH DURING TRADING HOURS, BUSINESS MANAGEMENT, INSURANCE SALES, FIXED INDEX AND LIFE THROUGH THE QUANTUM GROUP. 2) Notary Public, non inv related, 6565 Americas Parkway NE Ste 200 Albuqueque NM 87110, Notary Public, 03/2001, 1 hrs per mo, 1 hours per mo during trading hours, notarize documents. 3) IAR OF SOWELL MANAGEMENT COMPANY, MAUMELLE ARKANSAS, SEC REGISTERED RIA, INVESTMENT RELATED THIS IS A FULL TIME POSITION
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-12-03 |
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