Broker Check
Val G. Stephens, J.D.

Val G. Stephens, J.D.

Principal

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:

Undergraduate:
Brigham Young University, Bachelor of Arts (BA).1971
Employment:
United States Air Force, Intelligence Officer.1971
Graduate Degree:
McGeorge School of Law, University of the Pacific,
Juris Doctor (JD).
1976
Employment:
Northwestern Mutual Life1976
License:
“Uniform Securities Agents State Law Exam”
(FINRA Series 63 Exam)
1976
Employment: 

Johnstown American (Real Estate Syndication)
Senior Vice President, Marketing

1984
License:
“Direct Participation Programs Representative Exam”
(FINRA Series 22 Exam).
1984
License: 
“General Securities Representative Exam”
(FINRA Series 7 Exam)
1984
Incorporation:
Stephens Asset Management, Inc.1989
Registration: 

SEC Registered Investment Advisor

1989

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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  By regulation, therefore, the principle of the firm is not allowed to maintain these licenses and they are no longer active.