AP
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
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Advisor Information
Office location
111 Center Street, Little Rock, AR, 72201
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Stephens
January 2006 - Present · 20 yrs
Stephens Broker
October 2000 - Present · 25 yrs 3 mos
Previous Registrations
Painewebber Incorporated Broker
August 2000 - October 2000 · 2 mos
J.C. Bradford & CO.Broker
July 1989 - August 2000 · 11 yrs 1 mo
Legg Mason Wood Walker, IncorporatedBroker
October 1988 - August 1989 · 10 mos
Howard, Weil, Labouisse, Friedrichs INC.Broker
September 1988 - October 1988 · 1 mo
State Registrations9 states
ARGALAMSNCNYSCTNTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.