Justin B. Pickens

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CRD#: 4379248

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Justin Brent Pickens, who also goes by Justin B Pickens, was a registered financial professional .

Justin is a previously registered financial professional and started their career in finance in 2001. Justin had worked at 5 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Justin B Pickens

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 4, 2013 - October 11, 2016

VEACH FAMILY FINANCIAL

RIA

CRD#: 115798

NORTH LITTLE ROCK, AR

Past

March 9, 2010 - November 17, 2011

SOWELL MANAGEMENT

RIA

CRD#: 127145

NORTH LITTLE ROCK, AR

Past

April 27, 2005 - December 17, 2007

VEACH FAMILY FINANCIAL

RIA

CRD#: 115798

MAUMELLE, AR

Past

May 11, 2004 - May 23, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LITTLE ROCK, AR

Past

April 28, 2004 - May 23, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 28, 2004 - May 23, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 15, 2001 - May 22, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

VEACH FAMILY FINANCIAL

CRAFT, VEACH & COMPANY, PLC | VEACH FAMILY FINANCIAL | INDEPENDENT FINANCIAL ADVISORS, INC.

CRD#: 115798 / SEC#: 801-127773

RIA

Registered Investment Advisory firm - (4/28/2023 Approved)

Arkansas

Registered Investment Advisory firm - (5/10/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (12/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/9/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 3/8/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/14/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 5/30/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/7/2001

General Securities Representative Examination

Current Firm

VEACH FAMILY FINANCIAL

CRAFT, VEACH & COMPANY, PLC | VEACH FAMILY FINANCIAL | INDEPENDENT FINANCIAL ADVISORS, INC.

CRD#: 115798 / SEC#: 801-127773

RIA

Registered Investment Advisory firm - (4/28/2023 Approved)

Arkansas

Registered Investment Advisory firm - (5/10/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (12/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/9/2023 Terminated)

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Contact information

Main Address

8412 Counts Massie Road, North Little Rock, AR 72113

Mailing Address

Phone number

(501) 753-0313

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II (3/10/2025)

Regulatory assets under management

Total Number of Accounts	458
AUM (Assets Under Management)	$ 130,122,094

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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Advisor Monitoring

Firm Stability Insights

Justin B. Pickens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOWELL MANAGEMENT

VEACH FAMILY FINANCIAL

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

VEACH FAMILY FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2010

Series 66

Date: 5/14/2001

Series 31

Date: 5/30/2001

Series 7

Date: 5/7/2001

Current Firm

VEACH FAMILY FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VEACH FAMILY FINANCIAL

TRUST BUT VERIFY

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