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Mark Doramus

Senior Executive Vice President/CFO/Secretary/Treasurer 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

Mark Doramus is Senior Executive Vice President/CFO/Secretary/Treasurer of Stephens Inc., a Little Rock investment adviser managing $18B. Mark Doramus 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 Executive Vice President/CFO/Secretary/Treasurer
Control
Mark Doramus is a control person of Stephens.
Ownership
An individual ownership band is not available in the source record.
Tenure
Mark Doramus has held the filed role since January 2006.

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 79TO and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 1996
  4. Passed Series 63 · 1989
  5. Passed Series 7 · 1988

Registrations and exams

Broker registration; no current adviser registration. Mark Doramus has passed 6 qualifying exams.

Examinations

Series 634 January 1989
Name
Uniform Securities Agent State Law Examination
Series 2716 August 1996
Name
Financial and Operations Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 715 October 1988
Name
General Securities Representative Examination

Individual record

Full name
Mark Christopher Doramus
CRD
1888235
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 Mark Doramus work?

Mark Doramus has been Senior Executive Vice President/CFO/Secretary/Treasurer of Stephens Inc. since January 2006, and is a control person of the firm.

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

Does Mark Doramus have a current investment-adviser registration?

Mark Doramus 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 Mark Doramus passed?

Mark Doramus has passed 6 licensing exams: the Series 7, Series 63, Series 27, SIE, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in October 1988.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stephens

Sources

  1. IAPD individual record, CRD 1888235. 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 Mark Doramus or Stephens Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.