JP
James D. Pelton
ARVEST WEALTH MANAGEMENT
WEST FORK, AR 72774
Some features on this profile are disabled
CRD#: 1833264
JP
Professional summary
James Daniel Pelton, who also goes by Dan Pelton, Danny Pelton, is a registered financial advisor currently at ARVEST WEALTH MANAGEMENT located in West Fork, Arkansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Pelton | Danny Pelton
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Daniel Pelton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Daniel Pelton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 5, 2013 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 15 North Centennial, West Fork, AR 72774Office #2: 110 E Main Street, Farmington, AR 72730RIA
BD
CRD#: 42057
WEST FORK, AR
Current
October 5, 2013 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 15 North Centennial, West Fork, AR 72774Office #2: 110 E Main Street, Farmington, AR 72730RIA
BD
CRD#: 42057
WEST FORK, AR
Past
February 16, 2012 - October 17, 2013
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
OZARK, AR
Past
February 16, 2012 - October 17, 2013
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
OZARK, AR
Past
July 20, 2001 - March 1, 2012
STEPHENS
RIA
CRD#: 3496
FAYETTEVILLE, AR
Past
May 9, 2001 - March 1, 2012
STEPHENS
BD
CRD#: 3496
FAYETTEVILLE, AR
Past
March 18, 1997 - May 9, 2001
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
LOWELL, AR
Past
October 12, 1993 - March 16, 1994
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
March 8, 1993 - October 13, 1993
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
February 23, 1990 - February 23, 1993
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
BD
CRD#: 10194
JACKSON, MS
Past
January 26, 1989 - January 1, 1990
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 25, 1988 - January 26, 1989
EDWARD JONES
BD
CRD#: 250
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".
AW
ARVEST WEALTH MANAGEMENT
ARVEST ASSET MANAGEMENT | ARVEST WEALTH MANAGEMENT | ARVEST INVESTMENTS, INC.
CRD#: 42057 / SEC#: 801-63738, 8-49677
RIA
Registered Investment Advisory firm - SEC (1/3/2005 Approved)Arkansas
Registered Investment Advisory firm - SEC (1/4/2005 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/7/2005 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/26/2023)
IAR
Arkansas(10/5/2013)
RR
Arkansas(10/10/2013)
RR
California(6/22/2018)
RR
Colorado(8/20/2021)
RR
Delaware(5/2/2018)
RR
Florida(10/15/2015)
RR
Idaho(6/14/2019)
RR
Michigan(5/14/2021)
RR
Missouri(10/11/2013)
IAR
Missouri(2/20/2019)
RR
New York(5/14/2021)
IAR
New York(5/16/2021)
RR
Ohio(4/1/2024)
RR
Oklahoma(10/11/2013)
IAR
Oklahoma(2/20/2019)
RR
Tennessee(1/8/2016)
RR
Texas(10/14/2013)
IAR
Texas(2/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARVEST WEALTH MANAGEMENT
ARVEST ASSET MANAGEMENT | ARVEST WEALTH MANAGEMENT | ARVEST INVESTMENTS, INC.
CRD#: 42057 / SEC#: 801-63738, 8-49677
RIA
Registered Investment Advisory firm - SEC (1/3/2005 Approved)Arkansas
Registered Investment Advisory firm - SEC (1/4/2005 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/7/2005 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
913 W Monroe Avenue, Lowell, AR 72745
Mailing Address
Po Box 1515, Lowell, AR 72745
Phone number
(888) 916-2121
Established
Arkansas since 07/11/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
232
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARVEST BANK | OWNER | |
| BREWER, GRETCHEN DAPHYNE | FINANCIAL AND OPERATIONAL PRINCIPAL AND PRINCIPAL FINANCIAL OFFICER | 5089523 |
| CAIN, KENDRA BRADFORD | CHIEF COMPLIANCE OFFICER | 4580246 |
| CAIN, KENDRA BRADFORD | DIRECTOR | 4580246 |
| COTTRELL, ASA ANDERSON | CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR | 2151839 |
| CRAIN, BRADLEY JEAN | DIRECTOR | 5203394 |
| DERRYBERRY, DEE GARRISON | DIRECTOR | 4013705 |
| DERRYBERRY, DEE GARRISON | COO | 4013705 |
| HAYS, KIRK JODELL | DIRECTOR | 8156910 |
| JAMES, CARA CLUGSTON | DIRECTOR | 7249296 |
| LIPSCOMB, TABITHA HUBBS | DIRECTOR | 4347525 |
| MACHEN, JAMES MATTHEW | DIRECTOR | 4882241 |
| MORBECK, AMY MARIE | DIRECTOR | 7972656 |
| PAYNE, KARLA | DIRECTOR | 4725253 |
| PERRON, JOHN ARLEIGH | ARVEST1 MANAGER / MANAGER OF CLIENT SERVICES, MUNICIPAL PRINCIPAL | 3159317 |
| PERRON, JOHN ARLEIGH | PRIVATE SECURITIES OFFERINGS PRINCIPAL | 3159317 |
| PERRON, JOHN ARLEIGH | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROSFP) | 3159317 |
| PERRON, JOHN ARLEIGH | PRINCIPAL OPERATIONS OFFICER | 3159317 |
| ROGERS, DONNY RAY JR | PRESIDENT INVESTMENT SERVICES, SECRETARY OF BOARD, DIRECTOR | 2602108 |
| ROOKER, BARRY CHRISTOPHER | SENIOR DIRECTOR OF SALES/DIRECTOR | 3262999 |
| SABIN, KENNETH KEVIN | DIRECTOR | 5947088 |
| SHEPARD, RODNEY LEMAN | DIRECTOR | 7884866 |
| SMITH, BRIAN ANDREW | DIRECTOR, EXECUTIVE VICE PRESIDENT, SENIOR DIRECTOR OF SALES, DIRECTOR OF RETIREMENT PLAN CONSULTING | 2888485 |
Regulatory assets under management
| Total Number of Accounts | 7,800 |
| AUM (Assets Under Management) | $ 2,824,855,462 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 01/13/2025 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
ARVEST WEALTH MANAGEMENT
CRD#: 42057West Fork, AR 72774TRUST BUT VERIFY
Monitor James Pelton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
