Stephens will never ask clients or prospective clients for personal or financial information, or provide investment advice, via social media, or WhatsApp.
If you have any questions or concerns about someone from Stephens contacting you, please call your Stephens Representative or reach out to us via our Contact Us form.
We provide investment banking, research, sales and trading, asset and wealth management, public finance, insurance, private capital, and family office services.
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 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.
We are committed to bettering the communities where we live and operate. We do this by supporting corporate philanthropy, economic and financial literacy advocacy, and professional success.
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.
Stephens is the official investment banking partner of Williams Racing, one of the most winning teams in F1 history. We share that tradition of success.
We host many highly informative meetings each year with clients, industry decision makers, and thought leaders across the U.S. and in Europe.
We provide fiduciary investment strategies to public-and private-sector institutional clients through asset allocation, consulting, and retirement services.
Decades of proven performance and experience in providing tailored fixed income trading and underwriting services to major municipal and corporate issuers.
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.
We assist companies with accessing capital through innovative advisory and execution services that help firms achieve their strategic goals.
We have been a trusted and reliable source of capital for private companies for over 70 years.
Our experienced Private Client Group professionals develop customized investment strategies to help clients achieve their financial goals.
We are a trusted municipal advisor with proven expertise in public financings. We also work with clients in negotiated and competitive municipal underwritings.
rev: 3/2026
FACTS |
WHAT DOES Stephens Inc. DO WITH YOUR PERSONAL INFORMATION? |
|---|---|
| Why? | Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. |
| What? | The types of personal information we collect and share depend on the product or service you have with us. This information can include:
|
| How? | All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Stephens Inc. chooses to share; and whether you can limit this sharing. |
Reasons we can share your personal information |
Does Stephens Inc. Share? |
Can you limit this sharing? |
|---|---|---|
| For our everyday business purposes -
such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus |
Yes | No |
| For our marketing purposes -
to offer our products and services to you |
Yes | No |
| For joint marketing with other financial companies | No | We do not share |
| For affiliates' everyday business purposes -
information about your transactions and experiences |
Yes | No |
| For affiliates' everyday business purposes -
information about your creditworthiness |
No | We do not share |
| For nonaffiliates to market to you | Yes | Yes |
To limit our sharing |
You may submit the Opt-Out Request Form (available here: www.stephens.com/privacy-opt-out-request) by Mail to: Privacy Officer, Compliance Department, Stephens Inc., 111 Center Street, Little Rock, AR 72201 |
| PLEASE NOTE:
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share our information as described in this notice. |
|
Questions? | Contact us at: https://www.stephens.com/contact California residents only: You have the right to request the deletion of your personal information. To request additional information, visit https://www.stephens.com/contact/?referrer=ccpa or call 1-800-292-7589 |
What we do |
|
|---|---|
| How does Stephens Inc. protect my personal information? | To protect your personal information from unauthorized access and use, we utilize security measures that comply with federal law. These measures include computer safeguards, secured files and buildings. |
| How does Stephens Inc. collect my personal information? | We collect your personal information, for example, when you:
|
| Why can’t I limit all sharing? | Federal law gives you the right to limit only:
|
| What happens when I limit sharing for an account I hold jointly with someone else? | Your choices apply to everyone on your account. |
Definitions |
|
|---|---|
| Affiliates | Companies related by common ownership or control. They can be financial and nonfinancial companies. Our affiliates include Stephens Investment Management Group LLC, Stephens Insurance, LLC, and Stephens Shared Services LLC. |
| Nonaffiliates | Companies not related by common ownership or control. They can be financial and nonfinancial companies. Nonaffiliates your data may be shared with can include certain broker dealers pursuant to the Protocol For Broker Dealer Recruiting. |
| Joint marketing | A formal agreement between nonaffiliated financial companies that together market financial products or services to you. Stephens Inc. does not jointly market. |