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Jonathan Ray Finley

Stephens

Little Rock, AR

CRD 3234154

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Employer firm

Stephens CRD 3496

$18.0B regulatory AUM 170 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Stephens

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2023-09-21
TX RA APPROVED 2023-09-21
  • AR RA
    APPROVED
    Since 2023-09-21
  • TX RA
    APPROVED
    Since 2023-09-21

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stephens Inc Little Rock AR 07/2007 Present
  • 07/2007 → Present
    Stephens Inc
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-20
S63 Uniform Securities Agent State Law Examination 2008-01-29
  • S65 Uniform Investment Adviser Law Examination
    2023-09-20
  • S63 Uniform Securities Agent State Law Examination
    2008-01-29
Other Names
  • Jon Finley

View on SEC IAPD

Nearby Firms

EDWARD JONES
ARVEST WEALTH MANAGEMENT
STATE FARM INVESTMENT MANAGEMENT CORP.

Nearby Investors

Thomas Milton Howard
Ammie Thompson
Chera Kaye Moore

Nearby Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR

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