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STEPHENS
STEPHENS INC.
CRD 3496 · SEC 801-15510
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
| Type | Clients | AUM |
|---|---|---|
| Individuals | 18080 | $4.13B |
| High net worth individuals | 3088 | $10.11B |
| Banking/thrift institutions | 1 | $29.1M |
| Pension/profit sharing plans | 249 | $226.5M |
| Charitable organizations | 21 | $17.6M |
| State/municipal entities | 11 | $361.9M |
| Insurance companies | 15 | $123.1M |
| Corporations/business entities | 188 | $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
- HTTP://STEPHENS.LIBSYN.COM/
- https://apps.apple.com/us/app/stephens-events/id1480282538
- https://www.jacksontstephenscup.com/
- https://www.youtube.com/channel/UCrOe4NqKjQO7NYPRAT37Mvw
- HTTPS://WWW.FACEBOOK.COM/TICAPITALISM/
- HTTPS://WWW.FACEBOOK.COM/ABOUT.STEPHENS/
- HTTP://THISISCAPITALISM.LIBSYN.COM/
- HTTP://STEPHENS.COM/
- HTTPS://TWITTER.COM/STEPHENS_INC
- HTTPS://WWW.YOUTUBE.COM/@JACKSONT.STEPHENSCUP8689
- https://www.instagram.com/thestephenscup
- https://www.facebook.com/TheStephensCup/
- https://x.com/thestephenscup
- https://open.spotify.com/show/2ocMipFyc1ok2GbgcxWp0r?si=82C9aJF3SSGZPq_Pc78fgw
- https://www.linkedin.com/showcase/this-is-capitalism/
- https://itunes.apple.com/us/podcast/this-is-capitalism-ceo-stories/id1270233928?mt=2
- https://instagram.com/thisiscapitalism
- https://vimeo.com/user15195929
- https://www.linkedin.com/company/stephens-inc-
- HTTP://WWW.THISISCAPITALISM.ORG/
- HTTPS://TWITTER.COM/TICAPITALISM
- https://www.youtube.com/channel/UCsls9POCpO9038tGWG8GzRA
Official SEC filing: View on IAPD