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James Stevens

Chief Business Officer at Exchange Traded Concepts

Broker registration; no current adviser registration

James Stevens is Chief Business Officer of Exchange Traded Concepts, LLC, an Oklahoma City investment adviser managing $23B. James Stevens has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 66, Series 3 and Series 99TO.

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Past adviser firms
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Licensing exams

From the IAPD record · data retrieved 17 October 2026 · page updated 20 October 2026SEC record

Career

James Stevens has been Chief Business Officer of Exchange Traded Concepts since September 2025. James Stevens is a control person of the firm and directly owns between 5% and 10% of it.

Exchange Traded Concepts, LLC is an Oklahoma City, OK firm with $23B under management, 130 clients and 13 advisers across 2 offices, as of its February 2026 filing.

Exchange Traded Concepts lists J. Garrett Stevens as co-founder and chief business officer.

  1. Thurston Springer Advisors
    – · 1 year
    Oklahoma City, OK · Adviser representative · Firm CRD 299201
  2. Capitalist Asset Management
    – · 5 years
    Oklahoma City, OK · Adviser representative · Firm CRD 135836
  3. Phillips Capital Advisors, Inc.
    – · 22 years
    Oklahoma City, OK · Adviser representative · Firm CRD 115758

Credentials and registrations

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 316 February 2016
Name
National Commodity Futures Examination
Series 6629 August 2001
Name
Uniform Combined State Law Examination
Series 724 July 2001
Name
General Securities Representative Examination

Individual record

Full name
James Garrett Stevens
CRD
4428134
Firm bio
exchangetradedconcepts.com

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does James Stevens work?

James Stevens has been Chief Business Officer of Exchange Traded Concepts, LLC since September 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 11 February 2026

Does James Stevens have a current investment-adviser registration?

James Stevens has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 17 October 2026

What exams has James Stevens passed?

James Stevens has passed 4 licensing exams: the Series 7, Series 66, Series 3 and Series 99TO. The earliest, the Series 7, was passed in July 2001. FINRA credited James Stevens with the SIE, which began in October 2018.

Source: IAPD individual record, checked 17 October 2026

Where was James Stevens previously registered as an investment adviser?

James Stevens has past investment-adviser registrations through Thurston Springer Advisors, June 2024 to December 2025; Capitalist Asset Management, July 2005 to April 2011; Phillips Capital Advisors, Inc., February 2002 to June 2024, across 3 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Exchange Traded Concepts

Sources

  1. IAPD individual record, CRD 4428134. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Exchange Traded Concepts, LLC, filed 11 February 2026. Title, control and ownership bands.
  3. Exchange Traded Concepts team page. Biography, education, credentials, awards.

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

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