John Broadwater has been Chief Investment Officer of The Arkansas Financial Group since January 2009, is a control person of the firm and directly owns between 25% and 50% of it. John Broadwater studied at Southern Methodist University and the University of Arkansas for Medical Sciences.
The Arkansas Financial Group, Inc. is a Little Rock, AR firm with $971M under management, 367 clients and 5 advisers in one office, as of its September 2026 filing.
Ralph Broadwater of The Arkansas Financial Group is a retired surgeon and educator who focuses on wealth creation, money management and wealth management in retirement for established and young physicians. As a Certified Financial Planner practitioner, he has worked with physicians since 1996. After a fellowship in Surgical Oncology at the M.D. Anderson Cancer Center, he established a surgical oncology practice in Arkansas and retired from surgery in December 2020 after a 35-year career.
John Broadwater’s longest registration is the current one, 17 years at The Arkansas Financial Group since 2009. Before joining The Arkansas Financial Group in 2009, John Broadwater was registered through Physician Advisory Resources,llc and First Busey Securities, Inc.
- – present · 17 yearsLittle Rock, AR · Adviser representative · Firm CRD 104808
- Physician Advisory Resources,llc– · 4 yearsLittle Rock, AR · Adviser representative · Firm CRD 127963
- First Busey Securities, Inc.– · 8 yearsLittle Rock, AR · Adviser representative · Firm CRD 27439
Professional designations
Listed by The Arkansas Financial Group
- Certified Financial Planner™ (CFP®)
Investment adviser representative registrations
John Broadwater is registered as an investment adviser representative in 2 states. The first approvals date from January 2009; the most recent is Texas, in October 2021.
- ArkansasSince 9 January 2009
- TexasSince 12 October 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 12 December 1997 |
| Series 66 | Uniform Combined State Law Examination | 25 November 1997 |
| Series 7 | General Securities Representative Examination | 17 November 1997 |
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Ralph Broadwater
- CRD
- 2962501
- Firm
- The Arkansas Financial Group · CRD 104808
- Role
- Chief Investment Officer
- Office
- 1001 N. UNIVERSITY AVE., SUITE 200, Little Rock, AR 72207-6366
- Registration
- Investment adviser registration
- In the industry since
- November 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- arfinancial.com
Where does John Broadwater work?
John Broadwater has been Chief Investment Officer of The Arkansas Financial Group, Inc. since January 2009, and is a control person of the firm.
Is John Broadwater a financial advisor?
Yes. John Broadwater has a current investment-adviser registration in Arkansas and Texas, through The Arkansas Financial Group since January 2009.
How many years of experience does John Broadwater have?
John Broadwater has 27 years in the financial industry, since November 1998, across 3 adviser firms.
What exams has John Broadwater passed?
John Broadwater has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in November 1997.
Where did John Broadwater work before The Arkansas Financial Group?
Before The Arkansas Financial Group, John Broadwater was registered through Physician Advisory Resources,llc, February 2004 to December 2008; First Busey Securities, Inc., November 1998 to September 2007.
Where is John Broadwater based?
John Broadwater’s registered office is in Little Rock, AR.
Is John Broadwater registered with FINRA?
No. John Broadwater has no current broker registration.
Is John Broadwater a CFP?
The Arkansas Financial Group lists John Broadwater with the CFP credential (“Certified Financial Planner™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Ralph Broadwater, M.D., CFP® biography, arfinancial.com
How can I verify John Broadwater’s record?
Search CRD 2962501 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Broadwater’s full registration record.
