WG
Wiley K. Grubbs
CREWS & ASSOCIATES
Little Rock, AR 72212
Some features on this profile are disabled
CRD#: 867067
WG
Professional summary
Wiley Keith Grubbs JR, who also goes by Wiley Keith Grubbs, is a registered financial advisor currently at CREWS & ASSOCIATES, INC. located in Little Rock, Arkansas.
Wiley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Wiley has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wiley Keith Grubbs
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. Grubbs Sailing, owner & operator, private residence, sailing lessons & cruises, not investment related, 10-11 hours per month, no hours during trading, compensation: prices per hour, since 4/1/16.
2. yoga instructor, owner & operator, private residence, not investment related, 2-8 hours per week, no hours during trading, compensation: varies per class, since 1/31/16.
CRS (Client Relationship Summary) - RIA
Click below to view Wiley Keith Grubbs JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wiley Keith Grubbs JR'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
August 25, 2006 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Current
June 28, 2001 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Past
December 16, 1997 - June 28, 2001
AMUNI FINANCIAL, INC.
BD
CRD#: 8365
ST. PETERSBURG, FL
Past
July 12, 1993 - November 24, 1997
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
July 27, 1990 - June 25, 1993
FIRST AMERICAN SECURITIES, INC.
BD
CRD#: 18430
Past
August 23, 1989 - July 25, 1990
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
October 6, 1988 - August 1, 1989
APPLE SECURITIES, INC.
BD
CRD#: 19799
Past
March 25, 1988 - October 4, 1988
U.S. ASSOCIATES, INC.
BD
CRD#: 13511
Past
July 27, 1987 - September 11, 1987
LANDMARK GOVERNMENT SECURITIES, INC.
BD
CRD#: 19979
Past
July 11, 1986 - December 31, 1987
LANDMARK INVESTMENTS, INC.
BD
CRD#: 7041
Past
June 21, 1985 - June 17, 1986
L.A. BOYKIN & ASSOCIATES, INC.
BD
CRD#: 15668
Past
January 31, 1985 - June 24, 1985
BRITTENUM & ASSOCIATES, INC.
BD
CRD#: 7179
Past
December 12, 1984 - January 22, 1985
SWINK & COMPANY, INC.
BD
CRD#: 7111
Past
August 16, 1984 - October 26, 1984
COLLINS SECURITIES CORPORATION
BD
CRD#: 14203
Past
March 14, 1984 - July 6, 1984
COLLINS SECURITIES CORPORATION
BD
CRD#: 14203
Past
September 17, 1982 - January 17, 1984
TOWNES & CO., INC.
BD
CRD#: 7034
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".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 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
Alabama(6/29/2001)
RR
Arizona(4/15/2016)
RR
Arkansas(6/28/2001)
IAR
Arkansas(8/25/2006)
RR
Florida(7/6/2001)
RR
Georgia(3/26/2019)
RR
Kansas(6/12/2014)
RR
Louisiana(7/2/2001)
RR
Massachusetts(3/12/2025)
RR
Missouri(8/30/2006)
RR
Ohio(7/1/2025)
RR
Texas(6/29/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
521 President Clinton Avenue Suite 800, Little Rock, AR 72201
Mailing Address
P.o. Box 1696, Little Rock, AR 72203-1696
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
130
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
