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Warren Clayton Stephens

Btig, LLC

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About Warren Clayton Stephens

Warren Clayton Stephens has been a registered representative in the securities industry since November 1988. Warren has a broad range of experience and has held positions at several firms, including Bear, Stearns & Co. Inc., Gleacher & Company Securities, Inc., Mizuho Securities USA LLC, FHN Financial Securities Corp. and currently at Btig, LLC. Warren's current employment began on April 7, 2021. Warren holds Series 7, 63, 72, and SIE licenses.

Firm Information

Warren Stephens is currently registered with Btig, LLC. Btig, LLC is a Limited Liability Company formed in 2002. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm also holds an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

154

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Warren Stephens’s Registration & Firm History

CA

04/07/2021 - Present

Btig, LLC (SAN FRANCISCO CA)

CA

04/02/2019 - 03/29/2021

FHN FINANCIAL SECURITIES CORP. (SAN FRANCISCO CA)

CA

04/30/2013 - 12/12/2018

MIZUHO SECURITIES USA LLC (SAN FRANCISCO CA)

CA

09/09/2008 - 04/15/2013

GLEACHER & COMPANY SECURITIES, INC. (SAN RAFAEL CA)

CA

11/23/1988 - 06/19/2008

BEAR, STEARNS & CO. INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 12/12/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Warren Clayton Stephens.
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