Donnie A. Phillips

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CRD#: 1050407

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donnie Andrew Phillips was a registered financial professional .

Donnie is a previously registered financial professional and started their career in finance in 1982. Donnie had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 3, Series 52, Series 10, Series 9, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. D.A.PHILLIPS HOMES, NOT INVESTMENT RELATED, OWN 50%, RESIDENTIAL ADDRESS, NATURE: HOME BUILDING, NO HOURS DEVOTED DURING TRADING OR MONTHLY, DUTIES: OCCASIONAL ASSISTANCE FOR SON WHO IS A LICENSED CONTRACTOR, NO COMPENSATION. 2. MICHELE PHILLIPS & CO. REALTORS, 8700 HWY 107, SHERWOOD, AR, REAL ESTATE, SINCE 9/1/11, NO HOURS, DUTIES: WIFE'S COMPANY BUT WILL BE FINANCIAL ASSISTANCE, IF NEEDED. 3. DON PHILLIPS INC, PRIVATE RESIDENCE, OWN 100%, NOT INVESTMENT RELATED, INSURANCE AGENCY, 1HR/WK, NO HRS DURING TRADING, COMPENSATION FROM INSURANCE RESIDUALS ONLY, SINCE 7/1/13. 4. Phillips Family Farm LLC, own 100%, not securities related, since 8/1/16, nature: land & cabin for hunting, no hours, no hours during trading, no compensation.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 17, 2013 - October 24, 2025

CREWS & ASSOCIATES, INC.

RIA

CRD#: 8052

Little Rock, AR

Past

January 5, 2010 - October 24, 2025

CREWS & ASSOCIATES, INC.

CRD#: 8052

Little Rock, AR

Past

April 12, 2001 - July 1, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

September 14, 1998 - April 12, 2001

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

Past

April 12, 1993 - October 6, 1998

FIRST COMMERCIAL INVESTMENTS, INC.

CRD#: 30542

LITTLE ROCK, AR

Past

July 24, 1984 - January 1, 1986

BRITTENUM & ASSOCIATES, INC.

CRD#: 7179

Past

January 31, 1983 - February 21, 1984

UNITED CAPITAL CORPORATION

CRD#: 8268

Past

July 7, 1982 - February 1, 1983

TOWNES & CO., INC.

CRD#: 7034

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 4/5/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 52

Date: 7/1/1982

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/21/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/21/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/26/1986

Municipal Securities Principal Examination

Current Firm

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

521 President Clinton Avenue Suite 800, Little Rock, AR 72201

Mailing Address

P.o. Box 1696, Little Rock, AR 72203-1696

Phone number

(501) 907-2000

Established

Arkansas since 07/06/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

130

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CREWS & ASSOCIATES, INC. 2025 (5/7/2025)

Direct owners and executive officers

Name	Position	CRD#
CREWS CORE HOLDING COMPANY	OWNER
BEARDSLEY, SCOTT ARTHUR	SECRETARY OF THE BOARD	2349866
BUMPERS, JOSEPH PARROTT	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER	4336359
CLAY, DENNIS CHARLES	CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE	1233857
JONES, JAMES STEPHEN	PRESIDENT, DIRECTOR	502536
MEYER, DAMON CHRISTIAN	CHIEF COMPLIANCE OFFICER	4133916

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 149,386,233

Disclosures

Regulatory Event	15
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Donnie A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREWS & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

REGIONS INVESTMENT COMPANY, INC.

FIRST COMMERCIAL INVESTMENTS, INC.

BRITTENUM & ASSOCIATES, INC.

UNITED CAPITAL CORPORATION

TOWNES & CO., INC.

Primary Firm SEC Registration

CREWS & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2013

Series 63

Date: 2/5/1993

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/22/1993

Series 3

Date: 4/5/1985

Series 52

Date: 7/1/1982

Series 10

Date: 5/21/2001

Series 9

Date: 5/21/2001

Series 24

Date: 4/1/1993

Series 53

Date: 8/26/1986

Current Firm

CREWS & ASSOCIATES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CREWS & ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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