Unclaimed Profile

David Donald Moenning

SOWELL FINANCIAL SERVICES, LLC·NORTH LITTLE ROCK, Arkansas

Series 6, Series 7, Series 63, Series 6528 years registeredSOWELL FINANCIAL SERVICES, LLC

7301 RIVER POINTE DRIVE, NORTH LITTLE ROCK, AR 72113CRD# 1023866Firm CRD# 127145

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Donald Moenning · NORTH LITTLE ROCK, AR

Registration

CRD #1023866 · SOWELL FINANCIAL SERVICES, LLC · 28 years registered

Brand Profile

Not yet started

Career History

HERITAGE CAPITAL ADVISORS, LLC

Oct 2020 – present

EASTSOUND CAPITAL ADVISORS, LLC

May 2019 – Jan 2025

Arvada, CO

SOWELL MANAGEMENT SERVICES

Dec 2015 – Feb 2018

Evergreen, CO

CONCERT WEALTH MANAGEMENT

Feb 2014 – Dec 2015

EVERGREEN, CO

HERITAGE CAPITAL ADVISORS, LLC

Jul 2013 – Dec 2013

EVERGREEN, CO

HERITAGE CAPITAL MANAGEMENT INC

Jan 1998 – Dec 2015

EVERGREEN, CO

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · January 12, 1998

Years registered · 28

Disclosure History

2017Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SOWELL FINANCIAL SERVICES, LLC

CRD 127145 · SEC 801-63991

AUM

$3.3B

Regulatory assets under management

Employees

157

13,257 client accounts

Services offered by SOWELL FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SOWELL FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does David Donald Moenning offer?

David Donald Moenning specializes in Financial Planning, Investment Management. Contact their office in NORTH LITTLE ROCK, Arkansas for a consultation.

What are David Donald Moenning's credentials?

David Donald Moenning is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Donald Moenning located?

David Donald Moenning is based in NORTH LITTLE ROCK, Arkansas, working with SOWELL FINANCIAL SERVICES, LLC. Their office serves clients in the NORTH LITTLE ROCK metropolitan area and surrounding communities.

How does David Donald Moenning charge for services?

David Donald Moenning's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SOWELL FINANCIAL SERVICES, LLC?

SOWELL FINANCIAL SERVICES, LLC has approximately 157 employees and manages $3.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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