STEPHENS INC. of LITTLE ROCK, AR is an SEC-registered investment adviser (CRD 3496). Regulatory assets under management: $18.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| Curtis Franklin Jr Bradbury | VICE CHAIRMAN OF BOARD | — |
| Mark Christopher Doramus | SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER | — |
| Zoe Ann Hines | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | — |
| Warren Amerine Stephens | CHAIRMAN; TRUSTEE | — |
| Donald Lawrence Chaney | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR | — |
| Rachel Elizabeth Mondl Mayo | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | — |
| Joseph Bradford Eichler | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR | — |
| Warren Miles Amerine Stephens | BENEFICIARY/TRUSTEE; CO-CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| John Calhoun Stephens | BENEFICIARY/TRUSTEE; CO-CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| Laura Stephens Brookshire | BENEFICIARY; SENIOR EXECUTIVE VICE PRESIDENT | — |
| STEPHENS BESS CHISM | TRUSTEE | — |
| STEPHENS WARREN AMERINE | PRESIDENT/CEO/CHAIRMAN; PRESIDENT/CEO/DIRECTOR; TRUSTEE | — |
| JACOBY JON EILIF MCHALE | SENIOR EXECUTIVE VICE PRESIDENT/DIRECTOR; SENIOR EXECUTIVE VICE PRESIDENT/DIRECTOR/VICE CHAIRMAN OF THE BOARD | — |
| CAMPBELL ELIZABETH STEPHENS | TRUSTEE | — |
| STEPHENS WILTON ROBERT | DIRECTOR | — |
| PRINCE DAVID CANNON | SENIOR VICE PRESIDENT/ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER OF INVESTMENT ADVISOR | — |
| KNIGHT DAVID ARCENEAUX | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | — |
| SHELLABARGER PHILLIP ALLEN | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER; SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| BRADBURY CURTIS FRANKLIN JR | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR; SR EXEC VP, VICE CHAIRMAN | — |
| DORAMUS MARK CHRISTOPHER | EXECUTIVE VICE PRESIDENT/CFO; EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURES; SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER (+1 more) | — |
| OOTS KENT LAYNE | VICE PRESIDENT/SROP & CROP | — |
| HINES ZOE ANN | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER; SR VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | — |
| VANCE PATRICIA PAYNE | INVESTMENT ADVISOR COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR; VICE PRESIDENT & INVESTMENT ADVISOR COMPLIANCE OFFICER | — |
| BENNETT RICHARD ALAN | SROP & CROP | — |
| STEPHENS JACKSON THOMAS | SHAREHOLDER COMMON A; SHAREHOLDER PREFERRED B; TRUSTEE | — |
Showing 10 of 12 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-12 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE PROVISIONS OF MSRB RULE G-37(B) GOVERNING POLITICAL… | Final | $90K |
| 2019-03-11 | regulatory | THE ORDER ALLEGES STEPHENS INC. BREACHED ITS FIDUCIARY DUTY TO CLIENTS AND VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT IN THAT STEPHENS INC. PURCHASED, RECOMMENDED OR HELD FOR CLIENT ACCOUNTS MUTUAL FUND SHARE CLASSES THAT PAID STEPHENS INC. 12B-1 FEES BUT FAILED TO ADEQUATELY DISCLOSE CONF… | Final | — |
| 2016-05-11 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DID NOT ADEQUATELY SUPERVISE THE CONTENT AND DISSEMINATION OF FIRM-WIDE "FLASH" EMAILS THROUGH WHICH ITS RESEARCH ANALYSTS ALERTED OTHER FIRM PERSONNEL TO NEWS AND INSIGHTS CONCERNING… | Final | $900K |
| 2016-02-03 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS) THAT RESULTED IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES… | Final | $235K |
| 2015-10-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE (ELIG… | Final | — |
| 2015-06-18 | regulatory | SEC ADMIN RELEASES 33-9843; 34-75237, JUNE 18, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST STEPHENS INC. ("RESPONDENT"). RESPONDENT WILLFULLY VIOLATED S… | Final | $400K |
| 2015-06-17 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NMS STOCK (INCLUDING THE ORDERS' FULL SIZE AND PRICE) IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAV… | Final | $8K |
| 2013-12-23 | regulatory | FINRA RULE 2010, NASD RULES 1021, 2110, 3010 - STEPHENS INC. FAILED TO REGISTER TWO PERSONS ACTING IN A SUPERVISORY CAPACITY WITH RESPECT TO THE FIRM'S INVESTMENT BANKING OR SECURITIES BUSINESS IN THE REGISTRATION CATEGORY APPROPRIATE TO THE FUNCTION TO BE PERFORMED AS A GENERAL SECURITIES PRINCIPAL… | Final | $40K |
| 2013-08-22 | regulatory | UNTIL AUGUST 7, 2009, STEPHENS HAD NO WRITTEN COMPLIANCE POLICY THAT SPECIFICALLY ADDRESSED THE SALE OF LEVERAGED AND INVERSE ETFS. IN ADDITION, FOR SEVERAL MONTHS AFTER AUGUST 7, 2009, STEPHENS WAS UNABLE TO ENFORCE ITS WRITTEN COMPLIANCE POLICY CONCERNING LEVERAGED AND INVERSE ETFS. | Final | $25K |
| 2012-12-14 | regulatory | FINRA RULES 2010, 6730, NASD RULE 3010: THE FIRM FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR SEVERAL S1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES. IN ADDITION, THE FIRM FAILED TO REPORT TO TRACE SOME S1 TRANSACTIONS I… | Final | $10K |