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 operates as a corporate broker-dealer and registered municipal advisor that serves both individual/family and institutional clients. The firm performs a mix of brokerage and advisory work: securities execution and custody-related services through its broker-dealer platform, plus advisory offerings that include financial planning, portfolio management for individuals and for institutions, pension consulting, manager selection, and investor education through publications and workshops. Its compensation approaches are varied and include percentage-of-AUM fees, hourly and fixed fees, commissions, and performance-based arrangements. Stephens is not identified as an active ESG investor in the available data.
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 4
Louis Wilson
COO – Equity Capital MarketsCRD 1243846
Warren Miles Stephens
Co-ceoCRD 5399161
Mark Doramus
Chief Financial OfficerCRD 1888235
Contacts
3 of 584
Michele Rook
Vice PresidentCRD 3104110
Caden Kaff
Investment Banking AnalystCRD 8108154
Robert Mara
Managing DirectorCRD 4149726
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 598Active 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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