Val G. Stephens, J.D.
The principal of the firm, Val G. Stephens, J.D., is a native Californian who received his undergraduate degree from Brigham Young University. After serving for two years as an intelligence officer in the United States Air Force, Mr. Stephens entered the study of law in Sacramento, California, at McGeorge School of Law, University of the Pacific. He has worked continuously in the investment and financial services industry since graduation from law school, initially in the insurance business and then in real estate syndication. In 1989, Mr. Stephens founded his own fee-only (no commission) investment advisory firm. Since that time he has been employed as President of Stephens Asset Management, Inc., an investment management and consulting firm located in Fair Oaks (Sacramento), California.
HIGHLIGHTS. The principal’s education, employment and licensing history are highlighted below:
|Brigham Young University, Bachelor of Arts (BA).||1971|
|United States Air Force, Intelligence Officer.||1971|
|McGeorge School of Law, University of the Pacific, |
Juris Doctor (JD).
|Northwestern Mutual Life||1976|
|“Uniform Securities Agents State Law Exam” |
(FINRA Series 63 Exam)
Johnstown American (Real Estate Syndication)
|“Direct Participation Programs Representative Exam” |
(FINRA Series 22 Exam).
|“General Securities Representative Exam” |
(FINRA Series 7 Exam)
|Stephens Asset Management, Inc.||1989|
SEC Registered Investment Advisor
NOTE: FINRA stands for the Financial Industry Regulatory Authority, and the licenses referenced above were obtained while working for firms associated with the FINRA. Since 1989, however, Stephens Asset Management, Inc. has been registered directly with the Securities and Exchange Commission (SEC) and not with a FINRA member firm. By regulation, therefore, the principle of the firm is not allowed to maintain these licenses and they are no longer active.