Business Continuity Plan | Stephens

Who We Are

What We Do

We provide investment banking, research, sales and trading, asset and wealth management, public finance, insurance, private capital, and family office services.

About Us

We are a family-owned financial services firm that values client relationships, long-term stability, and supporting the communities where we live and work.

The Stephens Story

The idea of family defines our culture, because each of us knows that our reputation is on the line as if our own name was on the door.


Our reputation as a leading independent financial services firm is built on the stability of our longstanding and highly experienced senior executives.

Impact Initiatives

We are committed to corporate philanthropy; economic and financial literacy advocacy; and diversity, equity, and inclusion initiatives.

Our Brand Ambassadors

Stephens is proud to sponsor the PGA TOUR, LPGA Tour, and PGA TOUR Champions careers, as well as applaud the philanthropic endeavors, of our Brand Ambassadors.

Making Connections

We host many highly informative meetings each year with clients, industry decision makers, and thought leaders across the U.S. and in Europe.

Our Businesses

Capital Management

We provide fiduciary investment strategies to public-and private-sector institutional clients through asset allocation, consulting, and retirement services.

Fixed Income Sales & Trading

Decades of proven performance and experience in providing tailored fixed income trading and underwriting services to major municipal and corporate issuers.

Institutional Equities and Research

Proven industry-leading research, global market insights, and client-focused execution.


Customized risk management, property & casualty, executive strategies and employee benefits solutions that protect our clients over the long term.

Investment Banking

We assist companies with accessing capital through innovative advisory and execution services that help firms achieve their strategic goals.

Private Capital

We have been a trusted and reliable source of capital for private companies for over 70 years.

Private Wealth Management

Our experienced Private Client Group professionals develop customized investment strategies to help clients achieve their financial goals.

Public Finance

We are a trusted municipal advisor with proven expertise in public financings. We also work with clients in negotiated and competitive municipal underwritings.

Business Continuity Plan


Our firms recognize the threats posed by both internal and external events upon our business and the resulting effect on our customers. A number of procedures and back-up systems are in place in order to protect those interests and to minimize inconvenience to our customers by facilitating effective business resumption/recovery.

In order to make a resumption/recovery possible under a broad range of circumstances, an alternate datacenter facility with redundant equipment and communications services has been established in another city. In order to assure restoration of the most accurate information possible at the alternate datacenter, regular and frequent backups of data are performed. Additionally a regional resumption site is available, apart from our corporate headquarters in Little Rock, Arkansas, which contains duplicate equipment, telecommunications services, and space for staff to perform critical business functions.

To assure that our corporate headquarters remains as free as possible from disruption, fire detection and suppression systems are installed to reduce the threat of fire. Electrical generators and uninterruptible power supplies keep critical equipment running in the event of a power failure. Security systems and personnel ensure that only authorized persons gain entry to the building and to sensitive areas within the building.

If a disruption to our business, building, or business district occurs which results in the loss of use of our regular facility for more than one business day, our goal is to resume business activities as quickly as possible by switching our datacenter operations to the alternative datacenter and the staff to the regional resumption site.

If a larger scale disruption occurs (such as a city-wide or regional disruption), our goal is to resume business activities within one week by re-establishing operations at another site such as one of our branch offices or at the facilities of a business associate.

In every scenario, our goal is to continue business during that time and to protect the assets of our customers.

Our business continuity plan is subject to modification. Updated summaries of the plan will be posted on our web sites and a written copy will be available by mail upon request.