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.

Leadership

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 People

Mike Walker, CIMA®

Senior Vice President

(704) 442-5032 Send a message
Mike Walker, CIMA®

Philosophy & Approach

With more than 35 years as a financial consultant, Mike brings considerable investment knowledge and practical experience to every client relationship. His focus includes investment management, asset allocation, insurance, and retirement planning. Mike’s ethos about affording clients financial stability is simple: “I work with clients in most areas of their financial life, helping them distill the complex into something they understand and can act on. Our honest discussions about what that looks like and how to get there are invaluable,” he says. “It reinforces that I’m on their side and that at Stephens, we are committed to helping them achieve the peace of mind that comes with long-term financial security.”

Experience & Education

Mike joined Stephens in 2003 as a Vice President. Before joining Stephens, Mike was a financial advisor at Merrill Lynch, Pierce, Fenner & Smith, Inc. for more than 20 years. Earlier, he was an engineer at Air Products and Chemicals and served in the United States Air Force.

Mike has a bachelor’s degree in Engineering with a minor in Industrial Engineering from the University of Central Florida. He also received an MBA in Finance with honors from the University of Utah. He completed Stephens’ advanced wealth management program, Stephens University, offered through Wake Forest University in 2006.

He is a Certified Investment Management Analyst® (CIMA®). The certification from the Investment Management Consultants Association signifies that Mike has met initial and ongoing experience, ethical education, and examination requirements for investment management consulting, including advanced investment management theory and application.

Personal

Mike is deeply involved in the Charlotte community. Through June 2021, he is the District Governor for Rotary District 7680, serving 2,500 Rotarians in 57 clubs in 14 North Carolina counties. He is also on the Board of Directors of Arthritis Services in Charlotte. He has served as President of the Charlotte South Rotary Charitable Foundation, on the Board of Leadership Charlotte, the Board of the Olde Providence Racquet Club, and in other community leadership roles.

Mike and his wife, Susan, have five grown children and five grandchildren. In his free time, Mike enjoys working out, traveling, Rotary Club leadership work and spending time with his extensive family.

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