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Arthur Buring

Stephens

Memphis, TN

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Current Employers
Stephens

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-10-30
TN RA APPROVED 2012-01-23
  • TX RA
    APPROVED_RES
    Since 2013-10-30
  • TN RA
    APPROVED
    Since 2012-01-23

Branch Locations

6075 Poplar Avenue Crescent Center, Memphis, TN 38119 • 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
Morgan Stanley Smith Barney Memphis TN 06/2009 Present
Stephens Inc Memphis TN 01/2012 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Memphis, TN
  • 01/2012 → Present
    Stephens Inc
    Memphis, TN
Previous Registrations
  • 2009-06-01 → 2012-02-06
    Morgan Stanley
    Memphis, TN
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Memphis, TN
  • 2004-01-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Memphis, TN
    Memphis, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-18
S63 Uniform Securities Agent State Law Examination 1983-11-22
  • S65 Uniform Investment Adviser Law Examination
    2007-05-18
  • S63 Uniform Securities Agent State Law Examination
    1983-11-22

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
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