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Stephens
Little Rock, Arkansas
4.4
20 Reviews
Stephens, a renowned regional investment advisory firm, is headquartered in Little Rock, AR, with a presence in 24 offices. With a strong track record and extensive experience, Stephens caters to a diverse client base of over 18,810 individuals. Their impressive portfolio boasts an impressive $12,334,227,000 in assets under management, of which 74% are managed on a discretionary basis.
As a registered municipal advisor, Stephens offers comprehensive financial services to its clients. While they primarily manage employer funds, they also handle 401K and individual accounts, which collectively constitute less than 30% of their asse...see more
Assets Under Mgmt
$12.33B
Investment Professionals
253
Locations
23
% 401K & Individual
% Discretionary
Compensation Structure
- A percentage of assets under your management
- Hourly Charges
- Fixed Fees
- Commissions
- Performance-based fees
Services Provided Section
- Financial Planning Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars/workshops
Other Business Activities
- Broker-dealer (Registered or unregistered)
- Registered municipal advisor
Disclosures
- Do any of the events below involve you or any of your supervised persons?
- SEC or CFTC violation of regulation or statutes
- SEC or CFTC entered an order against you in connection to investment related activities
- SEC or CFTC imposed civil money penalty or cease and desist from an activity
- Found to have been involved in a violation of investment regulations or statutes by Federal regulatory agency
- Orders brought against in connection to investment related activities (10yrs)
- Had investment related business activity restricted by federal regulatory agency
- Found to have been involved in a violation of self-regulatory organizations rules
Reviews for Stephens
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