Niva WealthLet’s talk

Donald Chaney

Senior Vice President and Chief Compliance Officer - Broker Dealer/Investment Advisor at Stephens

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Donald Chaney is Senior Vice President and Chief Compliance Officer - Broker Dealer/Investment Advisor of Stephens Inc., a Little Rock investment adviser managing $18B. Donald Chaney has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Stephens

Title on Schedule A
Senior Vice President and Chief Compliance Officer - Broker Dealer/Investment Advisor
Control
Donald Chaney is not a control person of Stephens.
Ownership
An individual ownership band is not available in the source record.
Tenure
Donald Chaney has held the filed role since July 2015.

The firm

Stephens Inc.
Little Rock, AR

Form ADV filed 30 September 2026

$18B AUM21,991 clients247 advisers21 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 2015
  3. Passed Series 14 · 2014
  4. Passed Series 87 · 2004
  5. Passed Series 7 and Series 63 · 2001

Registrations and exams

Broker registration; no current adviser registration. Donald Chaney has passed 6 qualifying exams.

Examinations

Series 631 October 2001
Name
Uniform Securities Agent State Law Examination
Series 243 August 2015
Name
General Securities Principal Examination
Series 1411 December 2014
Name
Compliance Officer Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 8727 October 2004
Name
Research Analyst Exam - Part II Regulations Module
Series 728 August 2001
Name
General Securities Representative Examination

Individual record

Full name
Donald Lawrence Chaney
CRD
4341765
Firm
Stephens Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Donald Chaney work?

Donald Chaney has been Senior Vice President and Chief Compliance Officer - Broker Dealer/Investment Advisor of Stephens Inc. since July 2015.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Donald Chaney have a current investment-adviser registration?

Donald Chaney has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Donald Chaney passed?

Donald Chaney has passed 6 licensing exams: the Series 7, Series 63, Series 87, Series 14, Series 24 and SIE. The earliest, the Series 7, was passed in August 2001.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stephens

Sources

  1. IAPD individual record, CRD 4341765. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Stephens Inc., filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Donald Chaney or Stephens Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.