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Current Employers
Stephens

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2025-01-01
TX RA APPROVED_RES 2013-11-05
  • AR RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2013-11-05

Branch Locations

Fayetteville, AR • United States

111 Center Street, Little Rock, AR 72201-3507 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stephens Inc Fayetteville AR 03/2002 03/2023
Stephens Inc. Fayetteville AR 03/2023 Present
  • 03/2002 → 03/2023
    Stephens Inc
    Fayetteville, AR
  • 03/2023 → Present
    Stephens Inc.
    Fayetteville, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-26
S63 Uniform Securities Agent State Law Examination 1998-09-03
  • S65 Uniform Investment Adviser Law Examination
    2002-08-26
  • S63 Uniform Securities Agent State Law Examination
    1998-09-03

View on SEC IAPD

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