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111 Center St, Little Rock, AR 72201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2021-09-16 |
| TX | RA | APPROVED | 2021-09-16 |
Branch Locations
111 Center Street, Little Rock, AR 72201-3507 • UNITED STATES
Cumberland, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray & Co. | Boston | MA | 04/2015 | 08/2019 |
| Stephens Inc. | Cumberland | RI | 08/2019 | Present |
Twenty-Five and Five LLC - 10 Rosemere Rd., Cumberland, RI - Investment-related - Member - Real Estate/Rental property - December 2018 - Less than 5 hours per week devoted to the other business - 0 hours during trading hours; Ram Real Estate Investment LLC - 62 Pleasant Circle, Canton, MA - Investment related - Member - Buy/Sell/Hold Real Estate - October 2019 - 0 hours devoted to the other business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2008-12-16 |
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