Stephens
Firm details
- Headquarters
- Little Rock, Arkansas
- CRD number
- 3496
- Registered since
- September 19, 1980
- Website
- www.stephens.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees
- Client types
- HNWI56.03%
- Individuals22.86%
- Other13.46%
- Corporations / Businesses3.44%
- State / Municipal Government2.01%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Stephens is a corporate financial services firm that operates as an investment bank and broker‑dealer and is registered with the SEC (registered in 1980). It also serves as a registered municipal advisor. The firm serves both individual/family clients and institutional clients and offers a mix of advisory and brokerage services, including financial planning, portfolio management for individuals and businesses/institutions, pension consulting, selection of other advisers, and investor education through periodicals and seminars. Its fee arrangements are diverse—percentage of AUM, hourly and fixed fees, commissions, and performance‑based fees are all used. The firm is not identified as an active ESG investor and is not a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities59%
- Public Funds/Mutual Funds19%
- US Government Bonds7%
- State & Local Bonds4%
- Cash & Cash Equivalents4%
Owners & executives
3 of 3
Mark Doramus
Chief Financial OfficerCRD 1888235
Donald Chaney
SVP, Chief Compliance OfficerCRD 4341765
Warren Miles Stephens
Co-ceoCRD 5399161
Contacts
3 of 591Sasha Oquin
Compliance OfficerCRD 5716217
Nina Vincent
Internal AuditorCRD 5850239
John Murphy
Financial ConsultantCRD 5892179
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 597Active vs passive
$4.6B in ETFs
77%
$3.6B
18%
$1B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD TOTAL STOCK MARKET INDEX FUND (VTI) | Vanguard | Passive | Large Blend | $244M | 659,346 | 5.31% |
Location
Little Rock, AR
Pulaski
Location
Little Rock, AR
Headquartered in Little Rock, AR, anchoring the Little Rock-North Little Rock, AR metro in the South.
- Metro area
- Little Rock-North Little Rock, AR
- Region
- South
- County
- Pulaski
- Address
- 111 Center St
- Time zone
- CT (UTC-6)
- Office locations
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