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Detailed Report
WILLIAM CHESLEY SOWELL IV
(IV) WILLIAM CHESLEY SOWELL
CRD#: 2131557
IA
Investment Adviser
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Previous Broker
SOWELL MANAGEMENTCRD#: 127145 5320 NORTHSHORE DRIVE
NORTH LITTLE ROCK, AR 72118
Registration History
19952000200520102015202020252 FIRMS1991 - 1995 (4 years)IASOWELL MANAGEMENT (CRD# 127145)2010 - Present (15 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2008 - 2008 (<1 year)BFFP SECURITIES, INC. (CRD# 16337)1995 - 2008 (12 years)IAFIRST ADVISORS, INC. (CRD# 137888)2007 - 2007 (<1 year)IAFFP ADVISORY SERVICES INC (CRD# 110778)1995 - 2007 (11 years)IASOWELL MANAGEMENT SERVICES (CRD# 127145)2004 - 2005 (<1 year)
Disclosure(s)
View By:
11/16/2009
Regulatory
Final
9/8/2000
Customer Dispute
Award / Judgment
License(s)

State Registrations

IA
Arkansas 1/22/2010
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Texas 1/26/2010
Current Registration(s)
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SOWELL MANAGEMENT (CRD#:127145)
5320 NORTHSHORE DRIVE, NORTH LITTLE ROCK, AR 72118
Registered with this firm since 1/22/2010
Previous Registration(s)
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 05/30/2008 - 12/31/2008 FIRST ALLIED SECURITIES, INC. (CRD#:32444) NORTH LITTLE ROCK, AR
B
 07/25/1995 - 05/30/2008 FFP SECURITIES, INC. (CRD#:16337) NORTH LITTLE ROCK, AR
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 01/03/2007 - 02/06/2007 FIRST ADVISORS, INC. (CRD#:137888) CHESTERFIELD, MO
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 07/26/1995 - 01/05/2007 FFP ADVISORY SERVICES INC (CRD#:110778) NORTH LITTLE ROCK, AR
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 06/17/2004 - 03/01/2005 SOWELL MANAGEMENT SERVICES (CRD#:127145) LITTLE ROCK, AR
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 06/10/1991 - 07/05/1995 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/10/1991 - 07/05/1995 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.