James Mitchell Jr.
Advisor at Stephens
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Stephens
Location
Little Rock, AR 72201
Credentials
CFP®, Series 63, Series 65
Industry experience
37 years
About
James Mitchell Jr. is a CFP®-credentialed financial advisor with 37 years of industry experience, currently serving at Stephens in Little Rock, Arkansas, where he has worked since 2000. He holds Series 63 and Series 65 licenses. Outside of his advisory role, he is a trustee and partial owner of a family trust that manages farmland and other inherited assets. Stephens provides investment advisory and brokerage services to a diverse client base, including high-net-worth individuals, corporations, and public entities. The firm utilizes a combination of centralized investment committees and affiliated sub-advisors to implement a range of equity, fixed-income, and alternative strategies, supported by in-house equity research and various client platform options.
Client services
Based on Stephens
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Newsletters or periodicals
Educational seminars or workshops
Fee options
Fixed fees on a 'per job' basis for certain services, negotiated in advance
Markups and markdowns on fixed income transactions up to 0.065% of par value; commissions on trades executed away from Pershing; sales concessions and underwriting fees included in offerings; no commissions on trades executed through Stephens with Pershing for wrap programs
Consulting services may be provided with fixed fee, annual fixed fee paid quarterly, or annual fee based on percentage of assets; fees negotiated in advance
Performance fee arrangements available for qualified clients; rates negotiated on individual basis; performance fees typically invoiced annually
Minimum fee: A minimum fee is assessed per account (specific amount not stated)
Location
111 Center Street
Little Rock, AR 72201
Most active in
James M has reported serving >5 clients in these states in the last 12 months.
Arkansas · Texas
Work history
Stephens Inc
2000 - Present (26 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Will H
CFP®
Little Rock, AR
Sound Capital
Will founded Sound Capital in 2019, after more than 7 years in the wealth management industry. Prior to launching Sound Capital, he spent one year advising military families at the Little Rock Air Force Base and 6 years working as a Financial Consultant at Stephens Inc. He earned a Bachelor of Science in Finance and General Business from the University of Arkansas in Fayetteville and his Master of Business Administration from the University of Arkansas in Little Rock. He holds the designation of Certified Financial Planner (CFP®). Will is an Arkansas native who enjoys spending time with his wife, Liz, and their daughters, Finley and Jemma. You can typically find Will at the zoo, Museum of Discovery, or a park with his family. He enjoys going out to eat, watching movies, and traveling on those rare occasions away from his kids. “I enjoy working with people and trying to make their lives better. I want my clients to know that they are an extension of my family. I am grateful that they have asked me to grow with them, not only financially but personally and professionally. ”
Eric S
CFA®
Alexander, AR
Summerhill & Co., LLC
Eric S
Series 66
Little Rock, AR
Stoffel Financial Advisor's, LLC
Robert B
Series 63, Series 65
Little Rock, AR
Brown & Associates
Roy S
CFP®, Series 63, Series 66
Little Rock, AR
Crosscurrent Wealthmanagement, LLC
Elijah C
Series 63, Series 65
Little Rock, AR
Valuepoint Partners, Inc.
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