SM
Steven L. Middleton
STEPHENS
Little Rock, AR 72201
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CRD#: 1455305
SM
Professional summary
Steven Laurence Middleton is a registered financial advisor currently at STEPHENS located in Little Rock, Arkansas.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Middleton Holding Co-Not IR-Bryant, AR-28.33% Owner-Heating & Air-10/2002-Minimal hrs devoted-0 during trading; Yell County Investments, LLC -Perry County, AR-IR-50% Owner-cabin-2/1999-Minimal hrs devoted-0 during trading; Mid Investments Corp LLC-Box 263, LR, AR-IR-Member/50% Owner-Various rei-4/2011-Minimal hrs devoted-0 during trading; Chenal Properties Assoc-LR, AR-Not IR-Member-Prop oversight for neighborhood-4/2011-Minimal hrs devoted-0 during trading; Baptist Medical Fndn-LR, AR-Not IR-Board Member-Fundraising for hospital-1/2011-Minimal hrs devoted-0 during trading; Midwash Corp-42 Chenal Cir, LR, AR-IR-50% Owner-Holding Co for multiple carwashes-12/2013-Minimal hrs devoted-0 during trading; Plumbing Now/Russell Lemay Plumbing-8600 Cunningham Lake Rd, LR, AR-Not IR-50% Owner-Residential plumbing company-11/2017-Minimal hrs devoted-0 during trading; Lovell Minnick Equity Partners V- 450 N 7th Ave, Suite 909, NY, NY-IR-Investor-private equity offering- 1/2019-Minimal hrs devoted-0 during trading; Recess LLC-Box 263, Bryant, AR-IR-Limited Partner/Passive Investor 50% Owner-25 year old Fred's Store-12/30/2004-Minimal hrs devoted-0 during trading; Aim13-CV Partners SPVII, LLC-Box 263, Bryant, AR-Not IR-Passive Investor-Drone airspace security-10/2019-Minimal hrs devoted-0 during trading; Ultimate Express/dba M3 Ventures-Box 263, Bryant, AR-IR-Entity holds real estate investment prop located on I-30 in Bryant, AR-33.33% Owner-11/2016-Minimal hrs devoted-0 during trading; SS One of Arkansas-Box 263, Bryant, AR-IR-Entity owns a majority ownership in a warehouse on Colonel Glenn Rd, LR, AR-40% Owner-6/2010-Minimal hrs devoted-0 during trading; CEM Properties-Box 263, Bryant, AR-IR-Entity holds various buildings in Saline Cnty, AR & primarily is the owner of Middleton Heat & Air-1/3 Owner-8/1999 Minimal hrs devoted-0 during trading; M3 Capital-Box 263, Bryant, AR-IR-Entity holds a minority interest in an office park in WLR, AR-33.33% Owner-5/2014-Minimal hrs devoted-0 during trading; The Crossing Center-Box 263, Bryant, AR-IR-Shopping center/strip mall Maumelle, AR-6/2016-25% Owner-0 hrs devoted;Springhill Crossing LLC/Summit Properties-Box 263, Bryant, AR-IR-Real estate parcel, 2 story medical/small office complex Springhill Rd, Bryant, AR-6/2014-Limited Partner/Passive Investor-Minimal hrs devoted-0 during trading; Hot Springs AC, LLC-Box 263, Bryant, AR-Not IR-Small heating/air bus-1/2011-50% Owner/Member-0 hrs devoted; Mid Industry-Box 263, Bryant, AR-IR-30 year old warehouse located in NLR, AR/Managed by Colliers International-Investor-2014-0 hrs devoted; Mid Med LLC-Box 263, Bryant, AR-Entity owns real estate & operates a long term acute care office in Jonesboro, AR-Limited Partner/Passive Investor/25% Owner-5/2009-0 hrs devoted; Springhill Plaza LLC-Box 263, Bryant, AR-IR-30,000 sf warehouse on I-30 Bryant that houses an antique dealer-LP/Passive Investor/50% Owner-5/2005-0 hrs devoted; MidLease LLC-Box 263,Bryant,AR-Not IR-Holds automobiles/equipment associated with Middleton Heat & Air-LP/Passive Investor 50% Owner-1/2007-0 hrs devoted;SLM Invest Holdings-38 Chel Circle, LR, AR-IR-SPV for outside investments-2/2022-100% Owner-0 hours devoted;Mid AR Capital City MMD, LLC-Box 263, Bryant, AR-IR-Member-SPV to hold my outside investment for estate tax purposes-50% Owner-2/2022-0 hrs devoted to the other bus;BSA II, LP-38 Chel Cir, LR, AR-IR- 6/2022-LP for future PE & RE invest-GP- 0 hrs devoted;Middleton Heat & Air-Not IR-Box 506, Bryant, AR-S Corp/H & A Contractor-April 2024-Authority to execute documents on behalf of the company-4 hrs per month devoted-0 during trading; M5 Holdings LLC - 220839 I30, Bryant, AR-IR-Managing Director-LLC will be purchasing Real Estate/Alternative Assets-my responsibility to make decisions & sign paperwork- 10/2024-Less than 5 hrs devoted during trading;Charles E. Middleton Estate-Not IR-12141 Congo Ferndale, LR, AR-Co Executor-Estate-7/2025-Less than 10 hrs devoted during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Laurence Middleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Laurence Middleton's CRS (Customer Relationship Summary).
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
Current
August 25, 1995 - Present
STEPHENS
Office #1: 111 Center Street, Little Rock, AR 72201RIA
BD
CRD#: 3496
Little Rock, AR
Current
May 29, 1990 - Present
STEPHENS
Office #1: 111 Center Street, Little Rock, AR 72201RIA
BD
CRD#: 3496
Little Rock, AR
Past
February 19, 1986 - May 29, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/4/1994)
RR
Alaska(1/7/2000)
RR
Arizona(10/21/1991)
RR
Arkansas(5/29/1990)
IAR
Arkansas(8/25/1995)
RR
California(10/16/1991)
RR
Colorado(6/8/1994)
RR
Connecticut(10/16/1991)
RR
Delaware(11/11/2020)
RR
District of Columbia(10/17/1991)
RR
Florida(10/21/1991)
RR
Georgia(10/16/1991)
RR
Hawaii(1/6/1994)
RR
Illinois(10/16/1991)
RR
Indiana(10/16/1991)
RR
Iowa(1/21/2015)
RR
Kansas(10/24/1991)
RR
Kentucky(10/17/1991)
RR
Louisiana(5/29/1990)
RR
Maryland(10/16/1991)
RR
Massachusetts(10/16/1991)
RR
Michigan(10/18/1991)
RR
Minnesota(10/17/1991)
RR
Mississippi(10/17/1991)
RR
Missouri(10/17/1991)
RR
Montana(1/5/2017)
RR
New Hampshire(11/4/1994)
RR
New Jersey(10/17/1991)
RR
New Mexico(1/3/2007)
RR
New York(10/16/1991)
RR
North Carolina(10/17/1991)
RR
Ohio(10/17/1991)
RR
Oklahoma(10/16/1991)
RR
Oregon(12/22/2010)
RR
Pennsylvania(10/16/1991)
RR
South Carolina(10/12/1994)
RR
Tennessee(10/17/1991)
RR
Texas(10/17/1991)
IAR
Texas(11/5/2013)
RR
Virginia(11/7/1994)
RR
Washington(10/16/1991)
RR
Wisconsin(10/17/1991)
RR
Wyoming(10/16/1991)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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 |
|---|---|---|
| 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.
Company Information
STEPHENS
CRD#: 3496Little Rock, AR 72201TRUST BUT VERIFY
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Contact information
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