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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2014-03-21 |
| NC | RA | APPROVED | 2013-07-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens Inc | Charlotte | NC | 05/2013 | 03/2026 |
| Stephens Inc. | Charlotte | NC | 03/2026 | Present |
Tar Heel LLC - Investment related - 3316 Smith Point Court, Charlotte, NC - LLC - Real estate rental property - Manager/Duties would be to act ask backup for current managers whose duties are to collect rents, pay bills, and distribute money monthly to LLC members - January 2025 - 1 hour per month devoted to the other business - 0 hours devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-07-25 |
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