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Kimberly Dawn Smith

Sowell Management

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About Kimberly Dawn Smith

Kimberly Dawn Smith is an investment advisor representative with Sowell Management, located in Rogers, AR. Kimberly has been working in the financial services industry since 2003. Kimberly holds Series 7, 63, and 66 securities licenses. Kimberly has experience working with clients including individuals, corporations, pension and profit sharing plans, and charitable organizations.

Firm Information

Kimberly Smith is currently registered with Sowell Management. Sowell Management is an independent wealth management firm with a focus on providing customized financial planning and investment management services to individuals, families, and businesses. The firm has a strong track record of success in helping clients achieve their financial goals. Sowell Management is headquartered in NORTH LITTLE ROCK, AR and manages over $3.3 billion in assets for over 13,000 clients.
Sowell Management

5320 NORTHSHORE DRIVE

NORTH LITTLE ROCK, AR 72118

$3.33B

Assets Under Management

Not reported

Total Clients

90

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kimberly Smith’s Registration & Firm History

AR

08/13/2024 - Present

Sowell Management (Rogers AR)

AR

11/09/2018 - 07/30/2024

RAYMOND JAMES FINANCIAL SERVICES, INC. (FAYETTEVILLE AR)

AR

09/04/2014 - 08/22/2017

STEPHENS (ROGERS AR)

AR

12/15/2003 - 09/05/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROGERS AR)

TN

02/26/2003 - 12/17/2003

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

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Licenses & Designations

BOTH

Issued 10/05/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/04/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/22/2017

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Kimberly Dawn Smith. Review regulatory record here.
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