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Joseph Eichler

SR Exec VP, Chief Operating Officer, Director at Stephens

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

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Eichler is SR Exec VP, Chief Operating Officer, Director of Stephens Inc., a Little Rock investment adviser managing $18B. Joseph Eichler has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Stephens

Title on Schedule A
SR Exec VP, Chief Operating Officer, Director
Control
Joseph Eichler is a control person of Stephens.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Eichler has held the filed role since May 2023.

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 Series 10, Series 9 and Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2006
  4. Passed Series 87 · 2005
  5. Passed Series 8 · 1991
  6. Passed Series 7 and Series 63 · 1989

Registrations and exams

Broker registration; no current adviser registration. Joseph Eichler has passed 9 qualifying exams.

Examinations

Series 638 November 1989
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 249 October 2006
Name
General Securities Principal Examination
Series 82 April 1991
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 8725 February 2005
Name
Research Analyst Exam - Part II Regulations Module
Series 721 October 1989
Name
General Securities Representative Examination

Individual record

Full name
Joseph Bradford Eichler
CRD
1999320
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 Joseph Eichler work?

Joseph Eichler has been SR Exec VP, Chief Operating Officer, Director of Stephens Inc. since May 2023, and is a control person of the firm.

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

Does Joseph Eichler have a current investment-adviser registration?

Joseph Eichler 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 Joseph Eichler passed?

Joseph Eichler has passed 9 licensing exams: the Series 7, Series 63, Series 8, Series 87, Series 24, SIE, Series 10, Series 9 and Series 79TO. The earliest, the Series 7, was passed in October 1989.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stephens

Sources

  1. IAPD individual record, CRD 1999320. 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 Joseph Eichler or Stephens Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.