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Stephens CRD 3496
$18.0B regulatory AUM 170 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
111 Center St, Little Rock, AR 72201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2025-02-13 |
| TX | RA | APPROVED_RES | 2025-02-11 |
Branch Locations
161 Television Hill Road, Hot Springs, AR 71913 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America Inc | Hot Springs | AR | 04/2016 | 06/2019 |
| Beam Asset Management | Hot Springs | AR | 04/2016 | 06/2019 |
| Lpl Financial Llc | Hot Springs | AR | 06/2019 | 02/2022 |
| Sowell Management | North Little Rock | AR | 02/2022 | 02/2025 |
| Stephens Inc. | Hot Springs | AR | 02/2025 | Present |
HOPE WORKS Job Experience Program - Not investment related - 705 Malvern Avenue, Hot Springs, AR 71901 - Non-profit charity - January 30, 2025 - Treasurer/Reviewing and presenting financials @ board meetings - 1 hour per month devoted to the other business - 0 hours devoted during securities trading hours; HUMANE SOCIETY OF GARLAND COUNTY - Not investment related - 1321 Hwy 128, Lonsdale, AR 72087 - Charity - January 1, 2025 - Secretary, take meeting notes and assist with fundraising efforts - 2 hours per month devoted to the other business - o hours devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-12-13 |
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