John Whitman is a registered investment advisor at Stephens, based in Little Rock, AR, with 34 years of industry experience. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 21,784 clients with $16B in assets under management.
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Fee Structure
Stephens Inc. offers several investment management programs with fees based on a percentage of assets managed. Fees are negotiable and vary from client to client. Fees for some programs are charged quarterly in arrears, while others are charged monthly in advance. Clients may also incur markups or markdowns on fixed income transactions. Some programs may also have performance-based fees.
Location
111 Center Street, Little Rock, AR, 72201-3507
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Regulatory History (1)
Customer Dispute
March 2006Employment History
Current Registrations
Stephens
Stephens
StephensBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
J.C. Bradford & CO.Broker
Smith Barney INC.Broker
State Registrations42 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.