JA
James D. Alger
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CRD#: 1340657
JA
James David Alger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James David Alger was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 52, Series 14, Series 4, Series 53 and Series 24 exams.
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Owner of Alger Molded Products, a non-investment related business begun August 2018. Zero hours devoted during market trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 2, 2024 - August 6, 2026
STEPHENS
RIA
CRD#: 3496
LITTLE ROCK, AR
Past
April 15, 2019 - December 6, 2023
STEPHENS
RIA
CRD#: 3496
LITTLE ROCK, AR
Past
April 15, 2019 - August 6, 2026
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
December 16, 2014 - September 2, 2015
SIMMONS FIRST CAPITAL MANAGEMENT, INC.
RIA
CRD#: 137713
LITTLE ROCK, AR
Past
October 21, 2008 - March 25, 2019
SIMMONS FIRST INVESTMENT GROUP, INC.
RIA
CRD#: 47439
LITTLE ROCK, AR
Past
October 1, 2008 - April 15, 2019
SIMMONS FIRST INVESTMENT GROUP, INC.
BD
CRD#: 47439
LITTLE ROCK, AR
Past
January 1, 2008 - May 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLUMBUS, OH
Past
January 1, 2008 - May 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLUMBUS, OH
Past
June 14, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
COLUMBUS, OH
Past
June 12, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
COLUMBUS, OH
Past
December 19, 2001 - May 2, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
FAYETTEVILLE, AR
Past
August 9, 1989 - May 2, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 6, 1988 - August 14, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
September 25, 1985 - April 22, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
February 19, 1985 - April 26, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
BD
CRD#: 14391
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/3/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
111 Center Street, Little Rock, AR 72201
Mailing Address
111 Center Street, Little Rock, AR 72201-3507
Phone number
(501) 377-2000
Established
Arkansas since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
623
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SI HOLDINGS INC. | SHAREHOLDER COMMON | |
| BRADBURY, CURTIS FRANKLIN JR | VICE CHAIRMAN OF BOARD | 810347 |
| BROOKSHIRE, LAURA STEPHENS | SENIOR EXECUTIVE VICE PRESIDENT | 6513303 |
| CHANEY, DONALD LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR | 4341765 |
| DORAMUS, MARK CHRISTOPHER | SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER | 1888235 |
| EICHLER, JOSEPH BRADFORD | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR | 1999320 |
| HINES, ZOE ANN | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | 709945 |
| MAYO, RACHEL ELIZABETH MONDL | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | 7341761 |
| STEPHENS, JOHN CALHOUN | CO-CHIEF EXECUTIVE OFFICER | 5384316 |
| STEPHENS, WARREN MILES AMERINE | CO-CHIEF EXECUTIVE OFFICER | 5399161 |
Regulatory assets under management
| Total Number of Accounts | 21,784 |
| AUM (Assets Under Management) | $ 16,444,534,017 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 3 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2026 | ||
| 01/22/2025 | ||
| 02/07/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
