NL
Nancy A. Lewis
ARVEST WEALTH MANAGEMENT
LITTLE ROCK, AR 72223
Some features on this profile are disabled
CRD#: 2982331
NL
Professional summary
Nancy Ann Lewis, who also goes by Nancy Ann Glover, Nancy Ann Lewis, Nancy Ann Schwertfeger, Nancy Ann Stroud, is a registered financial advisor currently at ARVEST WEALTH MANAGEMENT located in Little Rock, Arkansas.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Nancy has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Ann Glover | Nancy Ann Lewis | Nancy Ann Schwertfeger | Nancy Ann Stroud
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 Nancy Ann Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Ann Lewis'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
February 7, 2023 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 17421 Chenal Parkway, Little Rock, AR 72223RIA
BD
CRD#: 42057
LITTLE ROCK, AR
Current
February 7, 2023 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 17421 Chenal Parkway, Little Rock, AR 72223RIA
BD
CRD#: 42057
LITTLE ROCK, AR
Past
September 16, 2019 - January 31, 2023
STEPHENS
RIA
CRD#: 3496
LITTLE ROCK, AR
Past
September 16, 2019 - January 31, 2023
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
September 30, 2016 - September 17, 2019
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Little Rock, AR
Past
September 29, 2016 - September 17, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Little Rock, AR
Past
December 18, 2007 - October 6, 2016
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
LITTLE ROCK, AR
Past
November 10, 2006 - October 6, 2016
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
LITTLE ROCK, AR
Past
December 8, 2005 - January 17, 2006
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SPRINGFIELD, MA
Past
December 6, 2005 - January 17, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 6, 2005 - January 17, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 10, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
ALPHARETTA, GA
Past
June 10, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
August 6, 2002 - June 23, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LITTLE ROCK, AR
Past
April 17, 2001 - June 23, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 28, 1998 - April 8, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
February 5, 1998 - July 20, 1998
KFS BD, INC.
BD
CRD#: 490
OMAHA, NE
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
Arkansas(2/7/2023)
IAR
Arkansas(2/7/2023)
RR
Kansas(2/7/2023)
IAR
Kansas(2/7/2023)
RR
Missouri(2/7/2023)
IAR
Missouri(2/7/2023)
RR
Oklahoma(2/7/2023)
IAR
Oklahoma(2/9/2023)
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)
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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.
