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Keith Arnn Westmoreland

Stephens

Fayetteville, AR

Little Rock, AR

CRD 4781064

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Employer firm

Stephens CRD 3496

$18.0B regulatory AUM 170 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

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

Current Employers
Stephens

111 Center St, Little Rock, AR 72201 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-04-28
AR RA APPROVED 2009-04-03
  • TX RA
    APPROVED_RES
    Since 2014-04-28
  • AR RA
    APPROVED
    Since 2009-04-03

Branch Locations

Fayetteville, AR • United States

111 Center Street, Little Rock, AR 72201-3507 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stephens Inc. Fayetteville AR 04/2009 02/2022
Stephens Inc. Fayetteville AR 02/2022 Present
  • 04/2009 → 02/2022
    Stephens Inc.
    Fayetteville, AR
  • 02/2022 → Present
    Stephens Inc.
    Fayetteville, AR
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-05
S63 Uniform Securities Agent State Law Examination 2004-09-23
  • S65 Uniform Investment Adviser Law Examination
    2004-11-05
  • S63 Uniform Securities Agent State Law Examination
    2004-09-23
Other Names
  • Keith Westmoreland

View on SEC IAPD

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