STEPHENS
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STEPHENS
(CRD# 3496)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Little Rock, AR.
The SEC approved the firm to operate as an RIA in
Sep 1980.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$9.5 Billion,
with discretion over
73%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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STEPHENS
also reported in
Mar 2019
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692
employees,
with
227
performing advisory functions.
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A total of 26 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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STEPHENS has one or more disclosure events currently on file with the SEC.
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STEPHENS has Notice Filings with the following State Securities Authorities:
AK-Feb 1993, AL-Dec 2000, AR-Jun 1987, AZ-May 2012, CA- CO-Sep 2000, CT-Oct 1997, DC-Feb 2001, DE-May 2003, FL-<
, GA-May 1995, HI-Nov 1997, IA-Jan 1999, ID-Mar 1998, IL-<
, IN-Feb 2001, KS-Dec 1997, KY-May 2012, LA-Oct 2001, MA-<
, MD-Dec 1991, ME-Mar 1998, MI-Mar 2005, MN-Oct 1997, MO-<
, MS-Mar 1998, MT-Nov 1997, NC-Jan 2001, ND-Apr 2000, NE-<
, NH-Jan 1995, NJ-Jul 1998, NM-Jun 1997, NV-Jul 1994, NY-<
, OH-May 2000, OK-Jan 1998, OR-May 2012, PA-May 2012, RI-<
, SC-Mar 1995, SD-Apr 1997, TN-Oct 1997, TX-Jun 1987, UT-<
, VA-Mar 1995, VT-Sep 1997, WA-Jan 1996, WI-Mar 1998, WV-<
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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