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STEPHENS

STEPHENS INC.

CRD 3496 · SEC 801-15510

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111 CENTER ST, LITTLE ROCK, AR, 72201, United States

Phone

501-377-2000

Fax

501-377-2495

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$18.04B

Discretionary AUM

$13.83B

Team

611 total employees; 247 advisory reps; 170 broker-dealer reps

Clients

More than 500

Fees

Percentage of AUM; Hourly charges; Fixed fees; Commissions; Performance-based fees

Org form

Corporation

Filing date

2026-03-31

Disciplinary history

Yes

Services

Financial planningPortfolio management (individuals)Portfolio management (institutions)Pension consultingSelection of other advisersPublication of periodicalsEducational seminars

Client types

TypeClientsAUM
Individuals18080$4.13B
High net worth individuals3088$10.11B
Banking/thrift institutions1$29.1M
Pension/profit sharing plans249$226.5M
Charitable organizations21$17.6M
State/municipal entities11$361.9M
Insurance companies15$123.1M
Corporations/business entities188$620.7M

States served

VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WV, WI, WY, MO, WA, TX, NH, HI, CT, FL, SD

All web addresses on file

Official SEC filing: View on IAPD