AT
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 (4)
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
February 2025Denied
Customer Dispute
August 2009Denied
Customer Dispute
August 2000Withdrawn
Regulatory
August 1989Final
Employment History
Current Registrations
Stephens
August 1999 - Present · 26 yrs 5 mos
Stephens Broker
January 1997 - Present · 29 yrs
Previous Registrations
Crews & Associates, INC. Broker
December 1989 - December 1996 · 7 yrs
Bowman & Company IncorporatedBroker
August 1988 - October 1988 · 2 mos
Powell & Satterfield, INC.Broker
February 1976 - August 1988 · 12 yrs 6 mos
State Registrations24 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.