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Thomas Allen Moll

Stephens

Little Rock, AR

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Current Employers
Stephens

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-12-16
TX RA APPROVED_RES 2018-06-29
  • AR RA
    APPROVED
    Since 2024-12-16
  • TX RA
    APPROVED_RES
    Since 2018-06-29

Branch Locations

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 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
  • 10/2014 → 09/2017
    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
    Stephens Inc.
    Little Rock, AR
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-06-25
S63 Uniform Securities Agent State Law Examination 2011-11-05
  • S65 Uniform Investment Adviser Law Examination
    2018-06-25
  • S63 Uniform Securities Agent State Law Examination
    2011-11-05
Other Names
  • Tommy Moll

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