DW
Dennis J. Whittaker
ARVEST WEALTH MANAGEMENT
Little Rock, AR 72201
Some features on this profile are disabled
CRD#: 3023592
DW
Professional summary
Dennis Jason Whittaker, CFA is a registered financial advisor currently at ARVEST WEALTH MANAGEMENT located in Little Rock, Arkansas.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) Dually employed by Arvest Bank's Trust Department, located in Little Rock, AR. I split my time 50%/50% between Arvest Bank and Arvest Wealth Management.
2) *THE NAME OF THE OTHER BUSINESS: SOUTHERN MUNICIPAL FINANCE SOCIETY,
*WHETHER THE BUSINESS IS INVESTMENT-RELATED: YES
*THE ADDRESS OF THE OTHER BUSINESS: 124 GULFSTREAM WAY, PONTE VERDRA, FL 32081
*THE NATURE OF THE OTHER BUSINESS, YOUR POSITION, TITLE, OR RELATIONSHIP WITH THE OTHER BUSINESS: SOCIETY CHAIR AND BOARD MEMBER
*THE START DATE OF YOUR RELATIONSHIP: 01/2007
*THE APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS: 2 HOURS PER WEEK
*THE NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 2 HOURS PER WEEK
*BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: My duties as Chair include conducting monthly meetings of the Board, ensuring annual filings are completed in a timely fashion, serving as one of the society's representatives to the National Federation of Municipal Analysts, informing the Board of any developments at the National level and responsibility for ensuring our education mission is fulfilled.
3) *THE NAME OF THE OTHER BUSINESS: National Federation of Municipal Analysts,
*WHETHER THE BUSINESS IS INVESTMENT-RELATED: Yes
*THE ADDRESS OF THE OTHER BUSINESS: PO Box 14893, Pittsburgh, PA 15234
*THE NATURE OF THE OTHER BUSINESS, YOUR POSITION, TITLE, OR RELATIONSHIP WITH THE OTHER BUSINESS: Member of Board of Governors; Co-Chair of Disclosure Committee
*THE START DATE OF YOUR RELATIONSHIP: 01/2018
*THE APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS: 2 HOURS PER WEEK
*THE NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 2 HOURS PER WEEK
*BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: Attend monthly conference calls of the board, attend full board meetings on NFMA conferences, fulfill needs for Disclosure Committee as requested.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Jason Whittaker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Jason Whittaker'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®
Experience
Current
July 19, 2006 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 500 Broadway, Little Rock, AR 72201RIA
BD
CRD#: 42057
Little Rock, AR
Current
July 19, 2006 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 500 Broadway, Little Rock, AR 72201RIA
BD
CRD#: 42057
Little Rock, AR
Past
August 5, 2004 - July 6, 2006
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
MEMPHIS, TN
Past
February 18, 2004 - August 3, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
RIA
CRD#: 111807
MEMPHIS, TN
Past
April 23, 2002 - December 13, 2002
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past
April 18, 2000 - April 30, 2002
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
LOWELL, AR
Past
January 25, 1999 - April 2, 1999
LLAMA COMPANY
BD
CRD#: 22440
FAYETTEVILLE, 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".
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(7/19/2006)
IAR
Arkansas(7/19/2006)
RR
Kansas(10/31/2018)
IAR
Kansas(2/15/2019)
RR
Missouri(10/31/2018)
IAR
Missouri(2/15/2019)
RR
Oklahoma(10/31/2018)
IAR
Oklahoma(2/15/2019)
RR
Texas(10/31/2024)
IAR
Texas(10/31/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
Company Information
ARVEST WEALTH MANAGEMENT
CRD#: 42057Little Rock, AR 72201TRUST BUT VERIFY
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