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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2013 (8 years)2 FIRMS2013 - Present (11 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2002 - 2005 (2 years)BARVEST ASSET MANAGEMENT (CRD# 42057)2000 - 2002 (2 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2003 - 2005 (2 years)
Disclosure(s)
View By:
3/13/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/4/2013
B
Mississippi 8/22/2017
B
Arkansas 4/4/2013
B
Missouri 4/4/2013
IA
Arkansas 4/4/2013
B
Montana 3/2/2018
B
California 4/4/2013
B
Nevada 4/4/2013
B
Colorado 4/4/2013
B
New Jersey 5/6/2013
B
Connecticut 8/22/2017
B
North Carolina 4/4/2013
B
Delaware 8/28/2017
B
Ohio 10/17/2014
B
District of Columbia 4/10/2019
B
Oklahoma 10/16/2013
B
Florida 4/4/2013
B
Pennsylvania 5/5/2023
B
Georgia 4/4/2013
B
South Carolina 4/4/2013
B
Illinois 8/22/2017
B
South Dakota 8/29/2016
B
Indiana 8/24/2017
B
Tennessee 12/16/2015
B
Iowa 8/22/2017
B
Texas 4/4/2013
B
Kansas 1/27/2014
IA
Texas 10/30/2013
B
Kentucky 8/22/2017
B
Utah 8/24/2017
B
Louisiana 8/22/2017
B
Virginia 10/31/2019
B
Maryland 8/22/2017
B
Washington 5/22/2013
B
Massachusetts 6/28/2017
B
Wisconsin 8/24/2017
B
Michigan 12/10/2013
B
Wyoming 8/24/2017
B
Minnesota 8/21/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
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
STEPHENS (CRD#:3496)
3100 MARKET STREET, ROGERS, AR 72758
Registered with this firm since 4/4/2013
B
STEPHENS (CRD#:3496)
3100 MARKET STREET, ROGERS, AR 72758
Registered with this firm since 4/4/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/22/2005 - 04/30/2013 ARVEST ASSET MANAGEMENT (CRD#:42057) ROGERS, AR
B
 04/22/2005 - 04/30/2013 ARVEST ASSET MANAGEMENT (CRD#:42057) ROGERS, AR
IA
 01/23/2003 - 04/27/2005 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) ROGERS, AR
B
 12/17/2002 - 04/27/2005 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
B
 03/07/2000 - 12/17/2002 ARVEST ASSET MANAGEMENT (CRD#:42057) ROGERS, AR
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.