RF
Robert T. Feltus
STEPHENS
Little Rock, AR 72201
Some features on this profile are disabled
CRD#: 5045420
RF
Professional summary
Robert Thomas Feltus is a registered financial advisor currently at STEPHENS located in Little Rock, Arkansas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Robert has worked at 1 firm and has passed the Series 66, 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.
OXBOW BREWING COMPANY - 274 Jones Wood Road, Newcastle, ME - Not investment related - American Farmhouse Style Brewery - Passive Investor - March 2014 - 0 hours devoted to the other business - 0 hours devoted during business hours; ISLAND 82 INC - Lake Village, AR - Investment related - 1606 acre hunting club & 8000 acre land lease - Hunting club member - 1/2006 - 0 hours devoted to the other business - 0 hours devoted during business hours; ISLAND 82 HOUSE LLC - 2230 Cottondale Lane, Little Rock, AR - Investment related - LLC owns hunting cabin and is for insurance & liability purposes - 3/2014 - 0 hours devoted to the other business - 0 hours devoted during business hours; ROBERT C. AND ANNE A. HICKMAN FAMILY LIMITED PARTNERSHIP - 5608 Edgewood Rd., Little Rock, AR - not investment related - Family estate planning - Family member and RR on related brokerage accounts - 3/10/2014 - minimal time devoted to the other business - minimal time devoted to the other business during securities trading hours; TSH LAND COMPANY LLC - 6101 Southwind Dr., North Little Rock, AR - investment related - 950 acre hunting club - Club Member - 3/31/2014 - annual meeting participation - 0 hours devoted to the other business during securities trading hours; CGAR LLC - 10 Broadview Dr., Little Rock, AR - Investment related - Manager - Family LLC for investing real estate & property - 8/2016 - 0 hours devoted to the other business during trading hours; OXBOW BREWING COMPANY - 274 Jones Wood Rd - New Castle, ME - not investment related - Passive Investor - American farmhouse brewery with operations in New Castle & Portland, ME - June 2017 - 0 hours devoted to the other business - 0 hours devoted during securities trading hours; PARKWAY BUILDING - 5100 West JB Hunt Drive, Suite 800, Rogers, AR - investment related - passive investor - entity to own a commercial real estate building in Rogers, AR - June 2018 - 0 hours devoted to the other business - 0 hours devoted during securities trading hours; Acre Trader Inc. - 310 Wes Dickson Street, Suite 205, Fayetteville, AR - Investment related - Passive investor - Farmland investing platform that allows accredited investors portal access to own farmland - January 2019 - minimal hours devoted to the other business - 0 hours devoted during securities trading hours; South CS Apartments LLC - 5100 W JB Hunt Drive, Suite 800, Rogers, AR - investment related - Passive investor - Apartment Complex in Fayetteville, AR for rental income - September 2019 - Minimal hours devoted to the other business annually - 0 hours devoted during securities trading hours; FLATHEAD RANCH, LLC - NOT INVESTMENT RELATED - 10 BROADVIEW DR., LITTLE ROCK, AR - MEMBER/50% OWNER - PURCHASE AND OWN A RECREATIONAL PROPERTY FOR PURPOSES OF HUNTING, FISHING AND FAMILY ENJOYMENT IN LONGTON, KS - AUGUST 2021 - MINIMAL TIME DEVOTED TO THE OTHER BUSINESS - 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Robert Thomas Feltus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Thomas Feltus'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
July 11, 2007 - Present
STEPHENS
Office #1: 111 Center Street, Little Rock, AR 72201RIA
BD
CRD#: 3496
Little Rock, AR
Current
December 12, 2006 - Present
STEPHENS
Office #1: 111 Center Street, Little Rock, AR 72201RIA
BD
CRD#: 3496
Little Rock, AR
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(2/14/2007)
RR
Alaska(1/17/2018)
RR
Arizona(2/14/2007)
RR
Arkansas(2/13/2007)
IAR
Arkansas(7/11/2007)
RR
California(2/14/2007)
RR
Colorado(2/14/2007)
RR
Connecticut(2/14/2007)
RR
Delaware(2/14/2007)
RR
District of Columbia(2/14/2007)
RR
Florida(2/14/2007)
RR
Georgia(2/14/2007)
RR
Idaho(7/25/2022)
RR
Illinois(2/14/2007)
RR
Indiana(1/17/2018)
RR
Iowa(3/25/2009)
RR
Kansas(2/14/2007)
RR
Kentucky(12/19/2012)
RR
Louisiana(2/14/2007)
RR
Maine(1/17/2018)
RR
Maryland(2/14/2007)
RR
Massachusetts(2/14/2007)
RR
Michigan(4/27/2015)
RR
Minnesota(1/17/2018)
RR
Mississippi(2/14/2007)
RR
Missouri(2/14/2007)
RR
Nevada(11/19/2008)
RR
New Jersey(2/5/2014)
RR
New Mexico(2/14/2007)
RR
New York(2/14/2007)
RR
North Carolina(2/14/2007)
RR
North Dakota(12/21/2010)
RR
Ohio(1/18/2018)
RR
Oklahoma(2/14/2007)
RR
Oregon(7/15/2013)
RR
Pennsylvania(2/14/2007)
RR
South Carolina(2/14/2007)
RR
Tennessee(2/14/2007)
RR
Texas(2/14/2007)
IAR
Texas(10/30/2013)
RR
Utah(1/3/2012)
RR
Vermont(1/17/2018)
RR
Virginia(2/14/2007)
RR
Washington(1/17/2018)
RR
West Virginia(2/14/2007)
RR
Wisconsin(1/17/2018)
RR
Wyoming(2/14/2007)
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 | ||
| 11/29/2022 |
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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