Stephen M. Northington

ETHOS CAPITAL GROUP

Little Rock, AR 72212

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CRD#: 2753419

Professional summary

Stephen Michael Northington, CFP® is a registered financial advisor currently at ETHOS CAPITAL GROUP, LLC located in Little Rock, Arkansas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Stephen has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.

Posh Tot Learning Academy, 2000 SE 14th Street, Bentonville, AR 72712 as my only outside business activity. I would say that I give 5 hours a week to Posh and do not receive any pay. Debbie calls me a volunteer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Northington'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

May 26, 2021 - Present

ETHOS CAPITAL GROUP, LLC

Office #1: 3801 Woodland Heights Rd Suite 125f, Little Rock, AR 72212

RIA

CRD#: 149579

Little Rock, AR

Past

December 16, 2009 - May 21, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

LITTLE ROCK, AR

Past

December 16, 2009 - May 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

LITTLE ROCK, AR

Past

April 10, 2007 - January 4, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

LITTLE ROCK, AR

Past

April 5, 2007 - January 4, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

LITTLE ROCK, AR

Past

September 20, 2006 - April 9, 2007

PFIC ADVISORS, INC.

RIA

CRD#: 138007

FRANKLIN, TN

Past

February 27, 2006 - April 5, 2007

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

June 26, 2002 - November 22, 2005

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

NORTH LITTLE ROCK, AR

Past

December 1, 2001 - November 22, 2005

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

April 12, 2000 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

November 2, 1998 - November 29, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 21, 1997 - November 6, 1998

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

June 20, 1996 - November 29, 1997

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(5/26/2021)

IAR

Louisiana
(9/27/2021)

IAR

Texas
(10/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2000

General Securities Principal Examination

Current Firm

ETHOS CAPITAL GROUP, LLC

ETHOS CAPITAL GROUP, LLC | NAME 820

CRD#: 149579 / SEC#: 801-70029

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (4/5/2012 Approved)

Louisiana

Registered Investment Advisory firm - (9/27/2021 Approved)

Texas

Registered Investment Advisory firm - (10/8/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3801 Woodland Heights Rd Suite 125f, Little Rock, AR 72212

Mailing Address

Phone number

(501) 708-0210

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 75,081,739

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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Northington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Northington's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

PFIC ADVISORS, INC.

PFIC SECURITIES CORPORATION

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

BANC ONE SECURITIES CORPORATION

MERCANTILE INVESTMENT SERVICES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2002

Series 63

Date: 6/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/24/1997

Series 6

Date: 6/19/1996

Series 24

Date: 9/1/2000

Current Firm

ETHOS CAPITAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ETHOS CAPITAL GROUP, LLC

TRUST BUT VERIFY

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