AB
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
243 advisors
Number of Clients
21,683 clients
Average Client Portfolio
$720K average
Assets Under Management
$15.6B
Fee Structure
Stephens offers various wrap fee programs with fees that cover advisory services. Pershing applies markups/markdowns to fixed income transactions, which are in addition to Stephens' advisory fee. The amount of the markup or markdown varies depending on the type of fixed income security and its maturity. Stephens generally pays Sub-Advisors between .25% and .55%.
Areas of Practice
Investment ManagementRetirement Planning
Loading...
Advisor Information
Office location
6075 Poplar Avenue, Crescent Center, Memphis, TN, 38119
Get directionsRegulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2012Settled
Customer Dispute
March 1998Settled
Employment History
Current Registrations
Stephens Broker
January 2012 - Present · 14 yrs
Stephens
January 2012 - Present · 14 yrs
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley Smith Barney Broker
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
January 2004 - April 2007 · 3 yrs 3 mos
Morgan Stanley Dw INC.Broker
October 2000 - April 2007 · 6 yrs 6 mos
Morgan Keegan & Company, INC.Broker
November 1983 - October 2000 · 16 yrs 11 mos
State Registrations34 states
ALARAZCACOCTDCFLGAIAILINKYLAMAMDMOMSNCNHNJNMNVNYOHOKORPASCTNTXVAWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.