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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_RES | 2014-04-10 |
| AR | RA | APPROVED | 2001-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens Inc | Little Rock | AR | 04/2001 | 06/2022 |
| Stephens Inc. | Little Rock | AR | 06/2022 | 03/2023 |
| Stephens Inc. | Little Rock | AR | 03/2023 | Present |
Rockbridge Partners, LLC - 5115 Kavanaugh Blvd., Little Rock, AR - Investment related - Member/1/3 Owner - Real estate investment/purchase condo - October 2018 - 0 hours devoted to the other business - 0 hours devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-01 |
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