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111 Center St, Little Rock, AR 72201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2024-12-16 |
| TX | RA | APPROVED_RES | 2018-06-29 |
Branch Locations
111 Center Street, Little Rock, AR 72201-3507 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens | Little Rock | AR | 10/2014 | 09/2017 |
| Stephens Inc. | Little Rock | AR | 09/2017 | 02/2018 |
| Stephens Inc. | Little Rock | AR | 02/2018 | 04/2019 |
| Stephens Inc. | Little Rock | AR | 04/2019 | 04/2020 |
| Stephens Inc. | Little Rock | AR | 04/2020 | Present |
PINES REALTY COMPANY - 10 Wingfield Circle, Little Rock, AR - investment related - Board of Directors Member/Officer - Management of lake cabins ("Couchwood") and surrounding property & assets; along with other real estate & financial investments w/proceeds supporting maintenance of the lake cabins - 8/2016 - 1 hour per week devoted to the other business - 0 hours devoted during business hours; PULASKI HEIGHTS UNITED METHODIST CHURCH/COMMITTEE ON FINANCE- 4823 Woodlawn Drive, Little Rock, AR - Not investment related - Member of committee, with potential to serve as one of the committee's officers or in a designated role with the committee - January 2023 - 1 hour per month devoted to the other business - 0 hours devoted during securities trading hours; GOVERNOR WINTHROP ROCKEFELLER DISTINGUISED LECTURES SERIES COMMITTEE - University of Arkansas System Program - The program provides funds for visiting lecturers on various topics at different college campuses in Arkansas - Not investment related - Advisory Committee - December 2023 - 1 hour per month devoted to the other business during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-05 |
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