Seth Middleton
Professional Summary
Seth Middleton is a registered financial advisor currently at STEPHENS located in Little Rock, Arkansas. Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Seth has worked at 1 firm and has passed the Series 63, Series 65, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
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
Contact Information
Main Address
111 Center Street, Little Rock, AR 72201Mailing Address
111 Center Street, Little Rock, AR 72201-3507Phone Number
(501) 377-2000Established
Arkansas since 01/28/1987Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
611SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US 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
21,991AUM (Assets Under Management)
$18,044,844,233Disclosures
Regulatory Event
47Civil Event
3Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2026 | Cover Page | Report |
| 01/22/2025 | Cover Page | Report |
| 02/07/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Seth Middleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Middleton's CRS (Customer Relationship Summary).
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