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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 | 2014-04-28 |
| NC | RA | APPROVED | 2006-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens Inc. | Charlotte | NC | 08/2006 | 05/2022 |
| Stephens Inc. | Charlotte | NC | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-02 |
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