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Warren Miles Stephens

Co-Chief Executive Officer at Stephens

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Warren Miles Stephens is Co-Chief Executive Officer of Stephens Inc., a Little Rock investment adviser managing $18B. Warren Miles Stephens has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Stephens

Title on Schedule A
Co-Chief Executive Officer
Control
Warren Miles Stephens is a control person of Stephens.
Ownership
An individual ownership band is not available in the source record.
Tenure
Warren Miles Stephens has held the filed role since January 2025.

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 24 · 2025
  2. Passed SIE · 2018
  3. Passed Series 79 and Series 7 · 2015
  4. Passed Series 63 · 2014

Registrations and exams

Broker registration; no current adviser registration. Warren Miles Stephens has passed 5 qualifying exams.

Examinations

Series 6310 November 2014
Name
Uniform Securities Agent State Law Examination
Series 247 April 2025
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 72 March 2015
Name
General Securities Representative Examination
Series 7912 January 2015
Name
Investment Banking Registered Representative Examination

Individual record

Full name
Warren Miles Amerine Stephens
CRD
5399161
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 Warren Miles Stephens work?

Warren Miles Stephens has been Co-Chief Executive Officer of Stephens Inc. since January 2025, and is a control person of the firm.

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

Does Warren Miles Stephens have a current investment-adviser registration?

Warren Miles Stephens has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Warren Miles Stephens passed?

Warren Miles Stephens has passed 5 licensing exams: the Series 63, Series 79, Series 7, SIE and Series 24. The earliest, the Series 63, was passed in November 2014.

Source: IAPD individual record, checked 18 October 2026

Leadership at Stephens

Sources

  1. IAPD individual record, CRD 5399161. 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 18 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 Warren Miles Stephens or Stephens Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.