Joseph Peter Stephens

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 11/2007 → 12/2021
  Dorsey & Company Inc.
  New Orleans, LA
• 11/2007 → Present
  Stephens Financial Services
  Algiers, LA
• 12/2021 → Present
  Prospera Financial Services Inc
  Dallas, TX

Previous Registrations

• 2007-11-20 → 2021-12-03
  Dorsey & Company, Inc.
  New Orleans, LA
  New Orleans, LA
  New Orleans, LA
• 2007-01-12 → 2007-12-13
  Edward Jones
  New Orleans, LA

Other Businesses

DBA Stephens Financial Services, Owner, Investment Related, 3528 Holiday Dr Ste A, New Orleans, LA 70114, started 11/2007; 160+ hours per month during business hours operating in conjunction with Dorsey & Company, Inc. as my registered Broker/Dealer; SERVICES INCLUDE FEDERAL AND STATE INCOME TAX PREPARATION DURING TAX SEASON Stephens Notary Services located at 3528 Holiday Dr Ste A, New Orleans, LA 70114, started 08/01/2018 providing Notary Services spending 1-9% of his weekly time. Compensation is 1-9% of his annual income. J&E Development LLC; Investment Related - No; 407 16th St., New Orleans, LA 70124; Rental from Buildings; Owner; Start Date [09/2004]; 1-9% Per Month, None During Trading Hours; Rental Income from offices within building.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-03-05
• S63 Uniform Securities Agent State Law Examination
  2000-01-12

Designations

• Certified Financial Planner