Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DENNIS JASON WHITTAKER
CRD#: 3023592
IA
Investment Adviser
B
Broker
ARVEST WEALTH MANAGEMENTCRD#: 42057 500 BROADWAY
LITTLE ROCK, AR 72201
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)BDUNCAN-WILLIAMS, INC. (CRD# 6950)2004 - 2006 (1 year)BDUNCAN-WILLIAMS, INC. (CRD# 6950)2002 - 2002 (<1 year)BARVEST ASSET MANAGEMENT (CRD# 42057)2000 - 2002 (2 years)BLLAMA COMPANY (CRD# 22440)1999 - 1999 (<1 year)IAUNION PLANTERS INVESTMENT ADVI... (CRD# 111807)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Arkansas 7/19/2006
IA
Missouri 2/15/2019
IA
Arkansas 7/19/2006
B
Oklahoma 10/31/2018
B
Kansas 10/31/2018
IA
Oklahoma 2/15/2019
IA
Kansas 2/15/2019
B
Texas 10/31/2024
B
Missouri 10/31/2018
IA
Texas 10/31/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ARVEST WEALTH MANAGEMENT (CRD#:42057)
500 BROADWAY, LITTLE ROCK, AR 72201
Registered with this firm since 7/19/2006
B
ARVEST WEALTH MANAGEMENT (CRD#:42057)
500 BROADWAY, LITTLE ROCK, AR 72201
Registered with this firm since 7/19/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/05/2004 - 07/06/2006 DUNCAN-WILLIAMS, INC. (CRD#:6950) MEMPHIS, TN
IA
 02/18/2004 - 08/03/2004 UNION PLANTERS INVESTMENT ADVISORS, INC. (CRD#:111807) MEMPHIS, TN
B
 04/23/2002 - 12/13/2002 DUNCAN-WILLIAMS, INC. (CRD#:6950) MEMPHIS (SHELBY), TN
B
 04/18/2000 - 04/30/2002 ARVEST ASSET MANAGEMENT (CRD#:42057) ROGERS, AR
B
 01/25/1999 - 04/02/1999 LLAMA COMPANY (CRD#:22440) FAYETTEVILLE, AR
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.