Stephens is an investment advisor in Little Rock with $12.33 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
710641468
SEC advisor number
801-15510
FINRA CRD number
3496
AUM ?
$12.33 bn
(as of 30 Jun 23)
Accounts
21,479
(as of 30 Jun 23)
Employees
637
(253 investment advisory or research)
Address
Stephens
111 CENTER ST
LITTLE ROCK
AR 72201
111 CENTER ST
LITTLE ROCK
AR 72201
Office hours
Monday - Friday, 8:00AM TO 5:00PM
Phone
501-377-2000
Brochures
- Adv Part 2 a (31 Mar 23)
- Stephenschoice (31 Mar 23)
- Stephens Small-mid Cap Core Growth Program (31 Mar 23)
- Stephens Capital Management Advisory Programs (31 Mar 23)
- Private Client Group Advisory Programs (31 Mar 23)
- SCM - Stephens Equity Focus Strategies (31 Mar 23)
- Stephens Equity Research Services Program (31 Mar 23)
- Stephens Fixed Income Management (31 Mar 23)
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Stephens, Warren Amerine | President/ceo/chairman | 06/1985 | < 5% |
Bradbury, Curtis Franklin JR | SR Exec VP, Vice Chairman | 05/2023 | < 5% |
Doramus, Mark Christopher | Senior Executive Vice President/cfo/secretary/treasurer | 01/2006 | < 5% |
Hines, Zoe Ann | Executive VP, Assistant CFO & Controller, Designated Nyse Chief Operations Officer | 01/2005 | < 5% |
Si Holdings Inc. | Shareholder Common | 09/2006 | > 75% |
Stephens, Warren Amerine | Trustee | 06/2006 | > 75% |
Warren A. Stephens Revocable Trust #Two Uid 6/14/2006 | Membership Interest | 05/2010 | > 75% |
Stephens Financial Services LLC | Shareholder Common | 05/2010 | > 75% |
Chaney, Donald Lawrence | Senior Vice President and Chief Compliance Officer - Broker Dealer/investment Advisor | 07/2015 | < 5% |
Mayo, Rachel Elizabeth Mondl | Executive Vice President/general Counsel | 07/2022 | < 5% |
Eichler, Joseph Bradford | SR Exec VP, Chief Operating Officer, Director | 05/2023 | < 5% |
Latest filings (excl ownership)
MA-A
Municipal Advisor registration (firm) (update)
1 Apr 24
MA-I/A
Municipal Advisor registration (individual) (amended)
11 Oct 23
MA-I
Municipal Advisor registration (individual)
11 Jul 23
MA/A
Municipal Advisor registration (firm) (amended)
21 Jun 23
MA-A
Municipal Advisor registration (firm) (update)
3 Apr 23
MA-I
Municipal Advisor registration (individual)
6 Feb 23
MA-I/A
Municipal Advisor registration (individual) (amended)
29 Nov 22
MA/A
Municipal Advisor registration (firm) (amended)
30 Aug 22
MA-I/A
Municipal Advisor registration (individual) (amended)
4 Apr 22
MA-A
Municipal Advisor registration (firm) (update)
31 Mar 22
Latest ownership filings
SC 13G/A
KURA SUSHI USA, INC.
14 Feb 24
13F-HR
Quarterly holdings report by institutional manager
13 Feb 24
13F-HR
Quarterly holdings report by institutional manager
14 Nov 23
13F-HR
Quarterly holdings report by institutional manager
14 Aug 23
13F-HR
Quarterly holdings report by institutional manager
15 May 23
13F-HR/A
Quarterly holdings report by institutional manager (amended)
14 Feb 23
SC 13G/A
KURA SUSHI USA, INC.
14 Feb 23
13F-HR
Quarterly holdings report by institutional manager
25 Jan 23
13F-HR
Quarterly holdings report by institutional manager
2 Nov 22
13F-HR
Quarterly holdings report by institutional manager
3 Aug 22