Adviser and broker representative · Stephens
James H. Grooms III
CRD 4429591 · Little Rock, AR
At a glance
James H. Grooms III is an investment adviser representative with Stephens in Little Rock, AR, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 2018, about 8 years ago. James is also registered as a broker representative.
Current advisory firm
- StephensSince October 2018Little Rock, AR · $18B in regulatory assets
SEC adviser record
- Registered since
- 2018 (8 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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