# STEPHENS

> FINRA firm 3496 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · LITTLE ROCK, AR

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 3496
- **Firm name:** STEPHENS
- **Other names:** PROFESSIONAL WEALTH MANAGEMENT PROGRAM, STEPHENSCHOICE, STEPHENS, INC., STEPHENS UNIFIED MANAGED ACCOUNT, STEPHENS SPECTRUM PROGRAM, STEPHENS SPECTRUM 401K, STEPHENS SMALL-MID CAP GROWTH PROGRAM, STEPHENS SMALL CAP GROWTH PROGRAM, STEPHENS RETIREMENT SOLUTIONS PROGRAM, STEPHENS RETIREMENT ACCESS, STEPHENS REAL RETURN STRATEGY, STEPHENS MANAGED ASSETS PROGRAM, STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM, STEPHENS INC., STEPHENS FIXED INCOME MANAGEMENT, STEPHENS ETF SPECTRUM 401K, STEPHENS EQUITY FOCUSED STRATEGY, STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST, STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY, STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY, STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM, STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM, STEPHENS CAPITAL MANAGEMENT, STEPHENS BROKERAGE SERVICES INC., STEPHENS ASSET MAXIMIZER PROGRAM, STEPHENS ALLOCATION STRATIGIES PROGRAM, STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM, STEPHENS
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-15510
- **SEC BD file number:** 8-1927
- **Branches:** 66
- **Has disclosure events:** YES
- **Headquarters:** LITTLE ROCK, AR, 72201, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/3496

## Citation

> FINRA BrokerCheck, firm 3496 (STEPHENS). Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/broker/3496.

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