John R. Broadwater

THE ARKANSAS FINANCIAL GROUP

Little Rock, AR 72207-6366

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CRD#: 2962501

Professional summary

John Ralph Broadwater JR, AIF®, CFP®, who also goes by Ralph Broadwater, is a registered financial advisor currently at THE ARKANSAS FINANCIAL GROUP, INC. located in Little Rock, Arkansas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. John has worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ralph Broadwater

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ralph Broadwater JR's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

January 9, 2009 - Present

THE ARKANSAS FINANCIAL GROUP, INC.

Office #1: 1001 N. University Ave. Suite 200, Little Rock, AR 72207-6366

RIA

CRD#: 104808

Little Rock, AR

Past

September 5, 2007 - January 7, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LITTLE ROCK, AR

Past

February 5, 2004 - December 31, 2008

PHYSICIAN ADVISORY RESOURCES,LLC

RIA

CRD#: 127963

LITTLE ROCK, AR

Past

November 10, 1998 - September 14, 2007

FIRST BUSEY SECURITIES, INC.

RIA

CRD#: 27439

LITTLE ROCK, AR

Past

November 18, 1997 - September 14, 2007

FIRST BUSEY SECURITIES, INC.

CRD#: 27439

LITTLE ROCK, AR

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".

THE ARKANSAS FINANCIAL GROUP, INC.

ARKANSAS FINANCIAL GROUP, INC. | THE ARKANSAS FINANCIAL GROUP, INC.

CRD#: 104808 / SEC#: 801-23922

RIA

Registered Investment Advisory firm - (4/17/1985 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(1/9/2009)

IAR

Texas
(10/12/2021)

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 66

Date: 11/25/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/1997

General Securities Principal Examination

Current Firm

THE ARKANSAS FINANCIAL GROUP, INC.

ARKANSAS FINANCIAL GROUP, INC. | THE ARKANSAS FINANCIAL GROUP, INC.

CRD#: 104808 / SEC#: 801-23922

RIA

Registered Investment Advisory firm - (4/17/1985 Approved)

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Contact information

Main Address

1001 N. University Ave. Suite 200, Little Rock, AR 72207-6366

Mailing Address

P.o. Box 7757, Little Rock, AR 72217-7757

Phone number

(501) 376-9051

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/9/2025)

Regulatory assets under management

Total Number of Accounts	1,608
AUM (Assets Under Management)	$ 861,387,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2025	Cover Page	Report
10/30/2024	Cover Page	Report
08/17/2023	Cover Page	Report
08/16/2023	Cover Page	Report

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.

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Firm Stability Insights

John R. Broadwater

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ralph Broadwater JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

PHYSICIAN ADVISORY RESOURCES,LLC

FIRST BUSEY SECURITIES, INC.

FIRST BUSEY SECURITIES, INC.

Primary Firm SEC Registration

THE ARKANSAS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/1997

Series 7

Date: 11/17/1997

Series 24

Date: 12/12/1997

Current Firm

THE ARKANSAS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE ARKANSAS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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