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RIA / WealthAdvisorCertified Financial Planner30 years in industry

STEPHEN MICHAEL NORTHINGTON

Advisor at ETHOS CAPITAL GROUP, LLC

LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:aec99807-89c9-e920-ab92-a83ae53c9778

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ETHOS CAPITAL GROUP, LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 21, 1996
First registration: Jun 26, 2002
Dual registered: no
IAPD individual key: 2753419

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ETHOS CAPITAL GROUP, LLC	Former SEC adviser	Jun 9, 2021	n/a	yes	LITTLE ROCK, AR	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 16, 2009	May 21, 2021	no	LITTLE ROCK, AR\|CABOT, AR	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Apr 10, 2007	Jan 4, 2008	no	BIRMINGHAM, AL\|LITTLE ROCK, AR\|LITTLE ROCK, AR\|MEMPHIS, TN	Previous registration
PFIC ADVISORS, INC.	n/a	Sep 20, 2006	Apr 9, 2007	no	FRANKLIN, TN	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jun 26, 2002	Nov 22, 2005	no	NORTH LITTLE ROCK, AR	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	ETHOS CAPITAL GROUP, LLC	May 21, 2021	Jun 9, 2021	19	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	LPL FINANCIAL LLC	Jan 4, 2008	Dec 16, 2009	712	Firm change after gap	Other
PFIC ADVISORS, INC.	MORGAN KEEGAN & COMPANY, LLC	Apr 9, 2007	Apr 10, 2007	1	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	PFIC ADVISORS, INC.	Nov 22, 2005	Sep 20, 2006	302	Firm change	Other

Relationships

Registered with (5)

→ ETHOS CAPITAL GROUP, LLCRegistered adviserregistration: current employment
Jun 9, 2021 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 16, 2009 to May 21, 2021factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Apr 10, 2007 to Jan 4, 2008factForm ADV
→ PFIC ADVISORS, INC.Registered adviserregistration: previous registration
Sep 20, 2006 to Apr 9, 2007factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 26, 2002 to Nov 22, 2005factForm ADV

Dated events

No dated event names this entity yet.