Senior Vice President/Chief Compliance Officer

0000757657-22-000016.txt : 20220830 0000757657-22-000016.hdr.sgml : 20220830 20220830183808 ACCESSION NUMBER: 0000757657-22-000016 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20220829 DATE AS OF CHANGE: 20220830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STEPHENS INC /AR/ CENTRAL INDEX KEY: 0000757657 IRS NUMBER: 710641478 STATE OF INCORPORATION: AR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01223 FILM NUMBER: 221215774 BUSINESS ADDRESS: STREET 1: 111 CENTER ST CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 501-377-2000 MAIL ADDRESS: STREET 1: 111 CENTRE STREET CITY: LITTLE ROCK STATE: AR ZIP: 72201 MA/A 1 primary_doc.xml MA/A 0000757657 XXXXXXXX Jennifer Woods 501-377-8185 jennifer.woods@stephens.com dbagley@stephens.com dchaney@stephens.com STEPHENS INC /AR/ 3496 71-0641478 866-00259-00 867-01223 008-0001927 3496 801-15510 3496 Broker Dealer 008-0001927 0000757657 SEC Registered Investment Advisor 801-15510 111 CENTER ST LITTLE ROCK AR 72201 501-377-2000 501-377-2495 Add 3344 Peachtree Road Atlanta GA 30326 404-461-5100 Add 200/300 Crescent Court Dallas TX 75201 214-258-2700 Add 3425 Futrall Drive Fayetteville AR 72703 479-718-7400 Add 3100 West End Avenue Nashville TN 37203 615-279-4300 Add 140 Township Avenue, Ste 202 Ridgeland MS 39157 6016055675 6016055680 Y 111 CENTER STREET LITTLE ROCK AR 72201 www.stephens.com Donald Lawrence Chaney Senior Vice President/Chief Compliance Officer

111 Center Street Little Rock AR 72201

501-377-3784 501-377-2495 dchaney@stephens.com Jennifer Tyetta Woods Vice President/Compliance Officer

111 Center Street Little Rock AR 72201

501-377-2223 501-377-3715 jennifer.woods@stephens.com Add Pershing LLC One Pershing Plaza 4th Floor Jersey City NJ 07399 201-413-2000

Pursuant to a clearing agreement with Pershing LLC, certain books or records of Stephens Inc., in a variety of media formats, are kept or maintained by Pershing LLC. Add DTC/ITP 55 Water Street New York NY 10041 2128558099

DTCC ITP IS THIRD-PARTY RECORDKEEPER FOR TRADE CONFIRMATIONS PREPARED AND ISSUED BY DTCC ITP THROUGH ITS TRADESUITE ID SERVICE (TRADESUITE CONFIRMATIONS OF ID CONFIRMS) Add Vital Records Control 1401 Murphy Drive Suite 14 Maumelle AR 72113 8778987450

RECORDS IN A VARIETY OF MEDIA FORMATS ARE MAINTAINED BY VITAL RECORDS CONTROL OF ARKANSAS. Stephens Investment Management Group, LLC Y SEC 801-64675 December AR 05-31-1948 N 626 17 17 1 0 70 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Hospitals Colleges Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Solicitation Of IAB Advice On Selection Y Y Y Y N Other municipal advisor 1 Y Y Y N Y Y Y Y N N Y N Y N Pershing LLC One Pershing Plaza, 4th Floor Jersey City, NJ 07399 N N N N Y Y N Y Y N Y N Y N N Y N N N N Y Y Y N N Y SI Holdings Inc. N 20-5291688 Shareholder Common 09-01-2006 E Y Curtis Franklin Jr. Bradbury Senior Executive Vice President, Chief Operating Officer, Director 04-03-1995 NA Y 810347 Donald Lawrence Chaney Senior Vice President & Chief Compliance Officer - Broker Dealer 07-01-2015 NA N 4341765 Mark Christopher Doramus Senior Executive Vice President/Chief Financial Officer/Secretary/Treasurer 01-02-2006 NA Y 1888235 Zoe Ann Hines Executive VP/Assistant CFO & Controller, Designated NYSE Chief Operations Officer 01-03-2005 NA N 709945 David Arceneaux Knight Executive Vice President/General Counsel 01-01-1988 NA N 1834998 Warren Amerine Stephens President/Chief Executive Officer/Director 06-03-1985 NA Y 1033710 SI Holdings Inc. Stephens Financial Services LLC N 43-1841894 Shareholder Common 05-03-2010 E Y Stephens Financial Services LLC Warren A. Stephens Revocable Trust # Two UID 06/14/2006 N 27-2059040 Membership Interest 05-03-2010 E Y Warren A. Stephens Revocable Trust # Two UID 06/14/2006 Warren Amerine Stephens Trustee 06-14-2006 E Y 1033710 SI Holdings Inc. N 20-5291688 Shareholder Common 09-01-2006 E Y Curtis Franklin Jr. Bradbury Senior Executive Vice President, Chief Operating Officer, Director 04-03-1995 NA Y 810347 Amend Donald Lawrence Chaney Senior Vice President & Chief Compliance Officer - Broker Dealer/Investment Advisor 07-29-2022 NA N 4341765 Mark Christopher Doramus Senior Executive Vice President/Chief Financial Officer/Secretary/Treasurer 01-02-2006 NA Y 1888235 Zoe Ann Hines Executive VP/Assistant CFO & Controller, Designated NYSE Chief Operations Officer 01-03-2005 NA N 709945 Delete David Arceneaux Knight Executive Vice President/General Counsel 01-01-1988 NA N 1834998 Warren Amerine Stephens President/Chief Executive Officer/Director 06-03-1985 NA Y 1033710 NewAdd Rachel Elizabeth Mondl Mayo Executive Vice President - General Counsel 08-01-2022 NA N 7341761 SI Holdings Inc. Stephens Financial Services LLC N 43-1841894 Shareholder Common 05-03-2010 E Y Stephens Financial Services LLC Warren A. Stephens Revocable Trust # Two UID 06/14/2006 N 27-2059040 Membership Interest 05-03-2010 E Y Warren A. Stephens Revocable Trust # Two UID 06/14/2006 Warren Amerine Stephens Trustee 06-14-2006 E Y 1033710 9-E2 Stephens Inc. 3496 1687411 9-D2 9-D4 Stephens Inc. 3496 1671206 9-E2 Stephens Inc. 3496 1639495 9-E2 Stephens Inc. 3496 1626548 9-E2 Stephens Inc. 3496 1613272 9-E2 Stephens Inc 3496 1591364 9-E2 Stephens Inc. 3496 1354595 9-E2 Stephens Inc. 3496 1265775 9-E2 Stephens Inc. 3496 1260563 9-E2 Stephens Inc. 3496 1098065 9-C2 Stephens Inc. 3496 687965 9-D4 Stephens Inc. 3496 685505 9-E2 Stephens Inc. 3496 685483 9-E2 Stephens Inc. 3496 685445 9-E2 Stephens Inc. 3496 685443 9-C1 9-C2 9-C4 9-C5 Stephens Inc. 3496 306295 9-E2 Stephens Inc. 3496 280755 9-E2 Stephens Inc. 3496 262370 9-C2 Stephens Inc. 3496 242979 9-E2 Stephens Inc. 3496 242966 9-E2 Stephens Inc. 3496 203276 9-E2 Stephens Inc. 3496 182326 9-E2 Stephens Inc. 3496 182315 9-E2 Stephens Inc. 3496 164216 9-E2 Stephens Inc. 3496 110505 9-E2 Stephens Inc. 3496 110504 9-E2 Stephens Inc. 3496 110503 9-D2 Stephens Inc. 3496 110502 9-E2 Stephens Inc. 3496 110501 9-D4 Stephens Inc. 3496 110500 9-C2 Stephens Inc. 3496 110499 9-E2 Stephens Inc. 3496 110498 9-E2 Stephens Inc. 3496 110497 9-E2 Stephens Inc. 3496 110496 9-E2 Stephens Inc. 3496 110495 1 9-E2 Stephens Inc. 3496 110494 Zoe Ann Hines N 709945 Stephens Inc. 3496 110494 9-E2 Stephens Inc. 3496 110493 9-D2 Stephens Inc. 3496 110492 9-E2 Stephens Inc. 3496 110491 9-E2 Stephens Inc. 3496 110490 9-D2 Stephens Inc. 3496 1786158 9-E2 Stephens Inc. 3496 1864351 9-C4 9-C5 9-D2 Stephens Inc. 3496 1786536 9-E2 Stephens Inc. 3496 1836643 9-D2 Stephens Inc. 3496 1881072 9-C2 9-C4 9-C5 Stephens Inc. 3496 2020007 9-H1c Stephens Inc. 3496 1064379 9-H1b Stephens Inc. 3496 685402 9-H1a 9-H1b Stephens Inc. 3496 685389 Donald Chaney Donald Chaney SVP & Chief Compliance Officer 08-29-2022 3496 N N N N N Y Y Y Y N Y N Y N N N N N Y N N