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James Edward Brain

Stephens

Rogers, AR

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Current Employers
Stephens

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-03-24
AR RA APPROVED 2009-04-03
  • TX RA
    APPROVED_RES
    Since 2014-03-24
  • AR RA
    APPROVED
    Since 2009-04-03

Branch Locations

3100 Market Street, Rogers, AR 72758 • 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 06/2022
Stephens Inc. Fayetteville AR 06/2022 Present
  • 04/2009 → 06/2022
    Stephens Inc
    Fayetteville, AR
  • 06/2022 → Present
    Stephens Inc.
    Fayetteville, AR
Previous Registrations
Other Businesses

ARKANSAS DEPARTMENT OF AERONAUTICS COMMISSION - 2315 CRISP DRIVE, HANGAR 8, LITTLE ROCK, AR 72202 - NOT INVESTMENT RELATED - COMMISSIONER - FEBRUARY 2015 - MISSION IS TO CREATE A SAFER, MORE DESIRABLE ATMOSPHERE FOR STATE AERONAUTICAL ACTIVITIES WHILE IMPROVING AIRPORTS TO BETTER SERVICE AR COMMUNITIES AND INDUSTRY - TIME DEVOTED WILL BE ONE MEETING PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-09
S63 Uniform Securities Agent State Law Examination 1995-07-25
  • S66 Uniform Combined State Law Examination
    2003-01-09
  • S63 Uniform Securities Agent State Law Examination
    1995-07-25
Other Names
  • James E Brain

View on SEC IAPD

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