TC
Thomas R. Clark
SOWELL MANAGEMENT
West Des Moines, IA 50266
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CRD#: 47906
TC
Professional summary
Thomas Ralph Clark, who also goes by Tom Clark, is a registered financial advisor currently at SOWELL MANAGEMENT located in West Des Moines, Iowa.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Clark
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.
COMPENSATION DESIGNS,LLC 1603 22ND STREET, SUITE 202, WEST DES MOINES, IA 50266 - PROVIDING EMPLOYEE BENEFIT AND NON-QUALIFIED PROGRAMS FOR CORPORATE CLIENTS - LICENSED INSURANCE AGENT AND OWNER SINCE 1986 - APPROX 80 HRS/MO - COMMISSIONS.
Executor/Trustee for relative's estate, since 2/26/2020, private residence address, Investment related because Tom Clark is the Trust's rep for the IAR Account, 15-20 hours per month, minimal hours during trading, Compensation: Typical Executor fees.
Growth Management Group, Since 9/2017, 1100 Torrey Rd Fenton MI, Position: Senior Advisor, Nature & Duties: Assist employers in applying for tax credits, Not investment related, 20 hours per month, No hours during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ralph Clark'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
September 29, 2016 - Present
SOWELL MANAGEMENT
Office #1: 1603 22nd Street Suite 202, West Des Moines, IA 50266RIA
CRD#: 127145
West Des Moines, IA
Past
July 22, 2016 - December 31, 2016
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
WEST DES MOINES, IA
Past
June 15, 2016 - July 18, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
West Des Moines, IA
Past
June 7, 2016 - April 3, 2017
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
West Des Moines, IA
Past
February 7, 2003 - June 7, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
WEST DES MOINES, IA
Past
October 2, 2002 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
W DESMOINES, IA
Past
October 2, 2002 - June 7, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
WEST DES MOINES, IA
Past
August 17, 2000 - October 3, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
January 5, 1999 - October 4, 2002
SUCCESSFUL RESOURCE MANAGEMENT, LTD.
RIA
CRD#: 110317
WEST DES MOINES, IA
Past
October 14, 1998 - August 22, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 18, 1994 - October 15, 1998
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
December 29, 1982 - March 31, 1994
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
December 14, 1981 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
March 26, 1969 - December 16, 1982
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
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".
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)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
Iowa(9/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/19/1969
Registered Representative ExaminationCurrent Firm
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5320 Northshore Drive, North Little Rock, AR 72118
Mailing Address
Phone number
(501) 219-2434
Established
Firm type
Fiscal year end
# of Employees
146
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,257 |
| AUM (Assets Under Management) | $ 4,230,990,937 |
Red Flags
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Company Information
SOWELL MANAGEMENT
CRD#: 127145West Des Moines, IA 50266TRUST BUT VERIFY
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