Stephen Michael Northington

Employer firm

Ethos Capital Group, LLC CRD 149579

$77.6M regulatory AUM 3 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2009 → 04/2021
  Lpl Financial, D/B/A Northington Investment Group
  Ft.MIll, SC
• 05/2021 → Present
  Ethos Capital Group, Llc
  Little Rock, AR

Previous Registrations

• 2009-12-16 → 2021-05-21
  Lpl Financial Llc
  Little Rock, AR
  Cabot, AR
• 2007-04-10 → 2008-01-04
  Morgan Keegan & Company, Llc
  Birmingham, AL
  Little Rock, AR
  Little Rock, AR
  Memphis, TN
• 2006-09-20 → 2007-04-09
  Pfic Advisors, Inc.
  Franklin, TN
• 2002-06-26 → 2005-11-22
  U.S. Bancorp Investments, Inc.
  North Little Rock, AR

Exams

• S66 Uniform Combined State Law Examination
  2002-06-06
• S63 Uniform Securities Agent State Law Examination
  1996-06-21

Designations

• Certified Financial Planner