WB
William J. Brumbaugh
ARVEST WEALTH MANAGEMENT
Tulsa, OK 74103
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CRD#: 7010606
WB
Professional summary
William J Brumbaugh, who also goes by William Joseph Brumbaugh, Dillon Brumbaugh, William Brumbaugh, is a registered financial advisor currently at ARVEST WEALTH MANAGEMENT located in Tulsa, Oklahoma.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. William has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Joseph Brumbaugh | Dillon Brumbaugh | William Brumbaugh
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 Tulsa, OK. I split my time 50%/50% between Arvest Bank and Arvest Wealth Management. 2) I*1747302, Entity Type, Name of OBA:Riverfield Country Day School, Address:Tulsa, OK, Investment Related: NO, Position, Title, Association: Committee , Employee Start Date: 04/09/2024, No Hours: No Hours during trading: Duties:Assisting in providing thoughts and opinion for the School finance committee involving matters around school financial matters on a purely consultive basis with 0 interactions or inputs involving physical funds, investing, or anything that is relatable to the nature of my job.
CRS (Client Relationship Summary) - RIA
Click below to view William J Brumbaugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William J Brumbaugh'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
October 21, 2024 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 515 S Boulder Avenue, Suite 100, Tulsa, OK 74103RIA
BD
CRD#: 42057
Tulsa, OK
Current
October 21, 2024 - Present
ARVEST WEALTH MANAGEMENT
Office #1: 515 S Boulder Avenue, Suite 100, Tulsa, OK 74103RIA
BD
CRD#: 42057
Tulsa, OK
Past
August 10, 2022 - October 28, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TULSA, OK
Past
August 10, 2022 - October 28, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TULSA, OK
Past
August 12, 2019 - June 7, 2021
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
TULSA, OK
Past
August 12, 2019 - June 7, 2021
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
TULSA, OK
Past
February 4, 2019 - August 22, 2019
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TULSA, OK
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
Oklahoma(10/21/2024)
IAR
Oklahoma(10/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2019
General Securities Representative ExaminationGeneral 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.
Company Information
ARVEST WEALTH MANAGEMENT
CRD#: 42057Tulsa, OK 74103TRUST BUT VERIFY
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