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STEPHENS INC., CRD 3496
LITTLE ROCK, AR
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES ROBERT MITCHELL | Certified Financial Planner | LITTLE ROCK, AR | 31 | 31 | n/a | yes |
| JAMES ALEXANDER JORDAN | n/a | LITTLE ROCK, AR | 29 | 41 | n/a | yes |
| TERRAL ALAN GAMMILL | n/a | LITTLE ROCK, AR | 28 | 35 | n/a | yes |
| DAVID MICHAEL PHILLIPS | n/a | LITTLE ROCK, AR | 28 | 35 | n/a | yes |
| CLARENCE FOSTER POLLOCK | n/a | LITTLE ROCK, AR | 27 | 33 | n/a | yes |
| DEBBIE LYNN LILLEY | n/a | CONWAY, AR | 27 | 33 | n/a | yes |
| ANDREW LANDER CHRISTIAN | n/a | LITTLE ROCK, AR | 27 | 27 | n/a | yes |
| ROBERT WILLIAM RANEY | n/a | LITTLE ROCK, AR | 27 | 46 | n/a | yes |
| ALLAN MATTISON TUCKER | n/a | LITTLE ROCK, AR | 27 | 36 | n/a | yes |
| DANIEL PATRICK BELZ | n/a | LITTLE ROCK, AR | HOT SPRINGS, AR | 27 | 45 | n/a | yes |
| FREDERICK BARKER BLAGG | n/a | HOT SPRINGS, AR | 26 | 36 | n/a | yes |
| EDWARD PAUL FROST | n/a | Pangburn, AR | LITTLE ROCK, AR | 26 | 32 | n/a | yes |
| SAUL MADDOX ROUSSEAU | n/a | LITTLE ROCK, AR | ATLANTA, GA | 26 | 34 | n/a | yes |
| RICHARD RANDOLPH ALEXANDER | n/a | AUSTIN, TX | 25 | 34 | n/a | yes |
| JOHN DARWIN GROBMYER | n/a | LITTLE ROCK, AR | 25 | 27 | n/a | yes |
| MIMI MYER HURST | Chartered Financial Analyst | LITTLE ROCK, AR | 24 | 25 | n/a | yes |
| DYLAN LANE LEWIS | n/a | LITTLE ROCK, AR | Austin, TX | 24 | 34 | n/a | yes |
| KYLE WILLIAM JENNER | n/a | FAYETTEVILLE, AR | 24 | 40 | n/a | yes |
| MICHAEL GEORGE CRONKHITE | n/a | LITTLE ROCK, AR | 23 | 23 | n/a | yes |
| JOHN MICHAEL WALKER | n/a | CHARLOTTE, NC | 22 | 43 | 1 | yes |
| MARION WALKER FULK | n/a | LITTLE ROCK, AR | 22 | 34 | 1 | yes |
| ASHLEY CLARK MCANULTY | n/a | NASHVILLE, TN | 22 | 23 | n/a | yes |
| WILLIAM WALKER BOWMAN | n/a | LITTLE ROCK, AR | 22 | 28 | 1 | yes |
| BRIANT CHARLES NOLAND | Certified Financial Planner | LITTLE ROCK, AR | 22 | 39 | 1 | yes |
| GILES AUGUSTUS COORS | n/a | MEMPHIS, TN | 22 | 45 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BRADBURY, CURTIS FRANKLIN JR | VICE CHAIRMAN OF BOARD | Na | yes | 05/2023 | Aug 11, 2026 | Aug 11, 2026 |
| BROOKSHIRE, LAURA STEPHENS | SENIOR EXECUTIVE VICE PRESIDENT | Na | yes | 01/2025 | Aug 11, 2026 | Aug 11, 2026 |
| DORAMUS, MARK CHRISTOPHER | SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER | Na | yes | 01/2006 | Aug 11, 2026 | Aug 11, 2026 |
| EICHLER, JOSEPH BRADFORD | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR | Na | yes | 05/2023 | Aug 11, 2026 | Aug 11, 2026 |
| SI HOLDINGS INC. | SHAREHOLDER COMMON | E | yes | 09/2006 | Aug 11, 2026 | Aug 11, 2026 |
| STEPHENS, JOHN CALHOUN | CO-CHIEF EXECUTIVE OFFICER | Na | yes | 01/2025 | Aug 11, 2026 | Aug 11, 2026 |
| STEPHENS, WARREN MILES | CO-CHIEF EXECUTIVE OFFICER | Na | yes | 01/2025 | Aug 11, 2026 | Aug 11, 2026 |
| STEPHENS FINANCIAL SERVICES LLC | SHAREHOLDER COMMON | E | yes | 05/2010 | Dec 19, 2011 | Oct 2, 2024 |
| STEPHENS, WARREN AMERINE | Trustee | E | yes | 06/2006 | Dec 19, 2011 | Oct 2, 2024 |
| STEPHENS, WARREN AMERINE | PRESIDENT/CEO/CHAIRMAN | Na | yes | 06/1985 | Dec 19, 2011 | Oct 2, 2024 |
| WARREN A. STEPHENS REVOCABLE TRUST #TWO UID 6/14/2006 | MEMBERSHIP INTEREST | E | yes | 05/2010 | Dec 19, 2011 | Oct 2, 2024 |
| CHANEY, DONALD LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR COUNSEL | Na | no | 07/2015 | Aug 11, 2026 | Aug 11, 2026 |
| HINES, ZOE ANN | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | Na | no | 01/2005 | Aug 11, 2026 | Aug 11, 2026 |
| MAYO, RACHEL ELIZABETH MONDL | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | Na | no | 07/2022 | Sep 12, 2022 | Oct 2, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | n/a | Asset manager | $9.5B | N | yes | n/a |
| STEPHENS EUROPE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| STEPHENS INSURANCE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WINSTON SALEM | Nc | United States | 23 | yes |
| Memphis | Tn | United States | 23 | yes |
| Fayetteville | Ar | United States | 11 | yes |
| Houston | TX | United States | 9 | no |
| Nashville | Tn | United States | 7 | yes |
| Rogers | Ar | United States | 6 | yes |
| NEW YORK | NY | United States | 6 | yes |
| Columbia | Sc | United States | 6 | yes |
| Dallas | TX | United States | 6 | yes |
| Conway | Ar | United States | 5 | yes |
| HOT SPRINGS | Ar | United States | 5 | yes |
| Ridgeland | Ms | United States | 5 | yes |
| Charlotte | Nc | United States | 5 | yes |
| Jonesoboro | Ar | United States | 3 | yes |
| Atlanta | Ga | United States | 3 | yes |
| Chicago | IL | United States | 3 | yes |
| Shreveport | La | United States | 3 | yes |
| Portland | Me | United States | 3 | yes |
| Austin | TX | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $18B | $14B | 611 | 247 | 20 | n/a | n/a |
| 2024 | Mar 31, 2025 | $16B | $12B | 623 | 246 | 20 | n/a | n/a |
| 2023 | Mar 28, 2024 | $14B | $10B | 629 | 244 | 22 | n/a | n/a |
| 2022 | Mar 31, 2023 | $12B | $9.2B | 637 | 253 | 23 | n/a | n/a |
| 2021 | Mar 28, 2022 | $15B | $11B | 625 | 257 | 23 | n/a | n/a |
| 2020 | Mar 26, 2021 | $13B | $9.3B | 655 | 265 | 23 | n/a | n/a |
| 2019 | Mar 31, 2020 | $11B | $8.4B | 658 | 268 | 24 | n/a | n/a |
| 2018 | Mar 21, 2019 | $9.5B | $7.0B | 692 | 227 | 25 | n/a | n/a |
| 2017 | Mar 30, 2018 | $10B | $7.4B | 692 | 227 | 23 | n/a | n/a |
| 2016 | Mar 17, 2017 | $7.8B | $6.5B | 671 | 226 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $6.6B | $5.6B | 657 | 231 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $6.8B | $5.7B | 627 | 243 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $5.7B | $4.7B | 618 | 294 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $4.6B | $3.8B | 598 | 222 | n/a | n/a | n/a |
| 2011 | Feb 23, 2012 | $3.8B | $3.0B | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 8 | -3 | 3.3% | 0 | 2 | 0 | 18 | 32 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $18B | $16B | 15.6% | $12B | 13.5% | 611 | 623 | 20 | 20 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ROCKEFELLER CAPITAL MANAGEMENT | 4 | Dec 22, 2025 | Dec 15, 2025 | DALLAS, TX | Team lift out | Ibd to ibd | 1.7% |
| STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | 9 | Dec 22, 2023 | Jun 29, 2023 | HOUSTON, TX | Team lift out | Other | 4.3% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Jul 31, 2023 | Jul 19, 2023 | RIDGELAND, MS | Team lift out | Ibd to ibd | 1.0% |
| WELLS FARGO ADVISORS | 2 | Jul 7, 2023 | Jul 6, 2023 | NEW YORK, NY | Team lift out | Ibd to wirehouse | 1.0% |
| LEES MONSOUR GROUP | 3 | Mar 30, 2022 | Jul 11, 2022 | SHREVEPORT, LA | Team lift out | Ibd to new firm | 1.6% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 2 | Jan 6, 2022 | Dec 13, 2021 | COLUMBIA, SC | Team lift out | Ibd to RIA | 1.1% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 2 | Oct 14, 2021 | Oct 9, 2021 | ATLANTA, GA | Team lift out | Ibd to RIA | 1.1% |
| ROCKEFELLER CAPITAL MANAGEMENT | 2 | Sep 7, 2021 | Aug 30, 2021 | ATLANTA, GA | Team lift out | Ibd to ibd | 1.1% |
| NAVITER WEALTH, LLC | 4 | Jan 29, 2021 | Jan 23, 2024 | LITTLE ROCK, AR | Team lift out | Ibd to new firm | 2.1% |
| WELLS FARGO ADVISORS | 2 | Sep 5, 2019 | Aug 30, 2019 | WINSTONSALEM, NC | Team lift out | Ibd to wirehouse | 1.1% |
| BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | 3 | Aug 9, 2017 | Aug 4, 2017 | JONESBORO, AR | Team lift out | Other | 1.9% |
| BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | 2 | Sep 15, 2016 | Sep 9, 2016 | JONESBORO, AR | Team lift out | Other | 1.3% |
| JANNEY MONTGOMERY SCOTT LLC | 2 | Feb 2, 2015 | Feb 18, 2015 | COLUMBIA, SC | Team lift out | Other | 1.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | 3 | Apr 30, 2018 | Apr 30, 2018 | GERMANTOWN, TN | Team lift out | Wirehouse to ibd | 0.0% |
| MORGAN STANLEY | 2 | May 19, 2017 | May 18, 2017 | WINSTONSALEM, NC | Team lift out | Other | 0.0% |