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Investment Adviser Firm Summary

STEPHENS INC. (CRD# 3496 / SEC# 8-1927, 801-15510)
Alternate Names: PROFESSIONAL WEALTH MANAGEMENT PROGRAM , STEPHENS , STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM , STEPHENS ALLOCATION STRATIGIES PROGRAM , STEPHENS ASSET MAXIMIZER PROGRAM , STEPHENS BROKERAGE SERVICES INC. , STEPHENS CAPITAL MANAGEMENT , STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM , STEPHENS CAPITAL MANAGEMENT ASSET ALLOCATION AND ADVISORY SERVICES , STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM , STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY , STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY , STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST , STEPHENS EQUITY FOCUSED STRATEGY , STEPHENS ETF SPECTRUM 401K , STEPHENS FIXED INCOME MANAGEMENT , STEPHENS INC. , STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM , STEPHENS MANAGED ASSETS PROGRAM , STEPHENS REAL RETURN STRATEGY , STEPHENS RETIREMENT ACCESS , STEPHENS RETIREMENT SOLUTIONS PROGRAM , STEPHENS SMALL CAP GROWTH PROGRAM , STEPHENS SMALL-MID CAP GROWTH PROGRAM , STEPHENS SPECTRUM 401K , STEPHENS, INC. , STEPHENSCHOICE

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/19/1980

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/29/2000
Alaska 02/17/1993
Arizona 05/10/2012
Arkansas 06/01/1987
California 07/08/1997
Colorado 09/06/2000
Connecticut 10/27/1997
Delaware 05/19/2003
District of Columbia 02/15/2001
Florida 05/13/1983
Georgia 05/08/1995
Hawaii 11/03/1997
Idaho 03/30/1998
Illinois 05/24/1988
Indiana 02/05/2001
Iowa 01/01/1999
Kansas 12/12/1997
Kentucky 05/10/2012
Louisiana 10/17/2001
Maine 03/18/1998
Maryland 12/17/1991
Massachusetts 05/10/2012
Michigan 03/31/2005
Minnesota 10/20/1997
Mississippi 03/17/1998
Missouri 11/10/1997
Montana 11/11/1997
Nebraska 03/19/1998
Nevada 07/15/1994
New Hampshire 01/01/1995
New Jersey 07/06/1998
New Mexico 06/10/1997
New York 11/13/1997
North Carolina 01/09/2001
North Dakota 04/18/2000
Ohio 05/11/2000
Oklahoma 01/01/1998
Oregon 05/10/2012
Pennsylvania 05/10/2012
Rhode Island 03/10/1998
South Carolina 03/07/1995
South Dakota 04/30/1997
Tennessee 10/06/1997
Texas 06/01/1987
Utah 06/24/1997
Vermont 09/26/1997
Virginia 03/09/1995
Washington 01/16/1996
West Virginia 03/19/1998
Wisconsin 03/16/1998

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser