WS
Walter S. Sullivan
ARVEST WEALTH MANAGEMENT
Rogers, AR 72758
Some features on this profile are disabled
CRD#: 2975513
WS
Professional summary
Walter Scott Sullivan, who also goes by Scott Sullivan, is a registered financial professional currently at ARVEST WEALTH MANAGEMENT located in Rogers, Arkansas.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1997. Walter has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Sullivan
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) - BD
Click below to view Walter Scott Sullivan'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
November 13, 2025 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 5201 Village Parkway, Rogers, AR 72758RIA
BD
CRD#: 42057
Rogers, AR
Past
November 13, 2013 - April 9, 2024
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
Mount Dora, FL
Past
January 25, 2013 - October 25, 2013
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LADY LAKE, FL
Past
January 23, 2013 - October 25, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LADY LAKE, FL
Past
March 21, 2012 - January 24, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
EUSTIS, FL
Past
September 30, 2009 - January 24, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
EUSTIS, FL
Past
February 18, 2004 - September 29, 2009
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
EUSTIS, FL
Past
May 1, 2003 - December 31, 2003
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 3, 2001 - May 1, 2003
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
Past
August 8, 2000 - January 23, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
November 17, 1998 - January 23, 2001
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
November 21, 1997 - March 8, 2000
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
BD
CRD#: 7315
PALM BEACH GARDENS, FL
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.
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
Arkansas(11/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/10/2001
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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)
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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.
