DW
Donald R. Winton
CREWS & ASSOCIATES
Little Rock, AR 72212
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CRD#: 867084
DW
Professional summary
Donald Ray Winton is a registered financial advisor currently at CREWS & ASSOCIATES, INC. located in Little Rock, Arkansas.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Donald has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 5, Series 3, Series 7, Series 52, Series 14, Series 27, Series 4, Series 53 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. AMOS ACRES, LLC. PARTNER, NOT INVESTMENT RELATED, 5334 SHERMAN DR, NORTH LITTLE ROCK, AR 72117, BEGAN MARCH 2005, NO HOURS PER MONTH, NO HOURS DURING TRADING HOURS, ONLY A BUILDING. 2. SHERMAN OAKS LLC, 50% OWNERSHIP, NOT INVESTMENT RELATED, 5600 SOUTHWIND, NLR, AR 72118, MEMBER, SINCE 10/1/06, 1HR/MONTH, NO HRS DURING TRADING. 3. Arkansas State University, Position: Portfolio Committee Member, Jonesboro AR, since Sept 2014, no compensation, no ownership, investment related, 2 hours per quarter, 2 hours during trading hours. 4. First Security Finance, nature: lease transactions, 521 President Clinton Ave, LR, AR, Position: COO, since 02/01/2001, only hours are during business hours: 1-2/week, Duties: lease transactions, investment-related: yes. 5. Bond Dealers of America; investment related; 1909 K Street, NW, Suite 510, Washington, DC, 20006; advocacy group for fixed-income activity, industry wide; Chairman; March of 2021; 10 hours per month; 10 hours per month during securities trading hours; duties are to ensure advocacy organization is managed effectively and provide support and supervision to the CEO and senior team. In addition, to provide leadership and to ensure BDA Management Committee functions properly. Often, duties include to represent the organization and sometimes to be its spokesperson at roundtables or meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Ray Winton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald Ray Winton'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 2, 2019 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Current
January 14, 1980 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Past
May 6, 2016 - December 20, 2018
FIRST SECURITY FUND ADVISERS, INC.
RIA
CRD#: 179538
LITTLE ROCK, AR
Past
June 8, 1979 - January 31, 1980
T. J. RANEY & SONS, INC.
BD
CRD#: 3128
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(7/29/1996)
RR
Arizona(10/22/2015)
RR
Arkansas(5/20/1983)
IAR
Arkansas(10/2/2019)
RR
Florida(1/11/2024)
RR
Missouri(4/12/1990)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/30/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
