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Detailed Report
JAMES ERVIN STEPHENS JR
JAMES ERVIN STEPHENS, JIM STEPHENS JR, JIM STEPHENS, JAMES ERVIN STEPHENS,Jr JR
CRD#: 2139534
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 Two Franklin Park
6700 Tower Circle, Ste. 200
Franklin, TN 37067
Registration History
19952000200520102015202020252 FIRMS2005 - 2018 (13 years)2 FIRMS2018 - Present (6 years)BMORGAN STANLEY DW INC. (CRD# 7556)1991 - 2005 (13 years)IAMORGAN STANLEY (CRD# 7556)2004 - 2005 (1 year)
License(s)

State Registrations

B
Alabama 5/22/2018
B
Michigan 1/8/2019
B
Arizona 2/3/2023
B
Missouri 3/4/2024
B
Arkansas 1/9/2020
B
New York 5/22/2018
B
California 1/9/2020
B
North Carolina 5/22/2018
B
Colorado 5/22/2018
B
Ohio 5/22/2018
B
Connecticut 10/12/2023
IA
Ohio 6/28/2019
B
Florida 5/22/2018
B
Tennessee 5/22/2018
B
Georgia 5/22/2018
IA
Tennessee 5/23/2018
B
Illinois 5/22/2018
B
Texas 5/22/2018
B
Indiana 5/22/2018
IA
Texas 6/22/2018
B
Kentucky 9/9/2022
B
Utah 7/13/2022
B
Louisiana 5/22/2018
B
Virginia 1/13/2020
B
Massachusetts 1/24/2025

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
Two Franklin Park 6700 Tower Circle, Ste. 200, Franklin, TN 37067
Registered with this firm since 5/23/2018
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
Two Franklin Park 6700 Tower Circle, Ste. 200, Franklin, TN 37067
Registered with this firm since 5/22/2018
Previous Registration(s)
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IA
 06/16/2005 - 05/10/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BRENTWOOD, TN
B
 02/10/2005 - 05/10/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BRENTWOOD, TN
IA
 01/16/2004 - 02/11/2005 MORGAN STANLEY (CRD#:7556) NASHVILLE, TN
B
 06/03/1991 - 02/11/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.