Unclaimed Profile

David Cannon Prince

STEPHENS INC.·LITTLE ROCK, Arkansas

SIE, Series 7, Series 9, Series 10, Series 14, Series 24, Series 63Clean recordSTEPHENS INC.

111 CENTER ST, LITTLE ROCK, AR 72201CRD# 1636628Firm CRD# 3496

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Cannon Prince · LITTLE ROCK, AR

Registration

CRD #1636628 · STEPHENS INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 14

Series 24

Series 63

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STEPHENS INC.

CRD 3496 · SEC 801-15510

AUM

$14.8B

Regulatory assets under management

Employees

629

21,924 client accounts

Services offered by STEPHENS INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at STEPHENS INC. →

Introduction

Speak with David Cannon

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if David Cannon is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LITTLE ROCK?

Browse all registered financial advisors in LITTLE ROCK, Arkansas or claim this profile if it's yours.

Browse LITTLE ROCK Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does David Cannon Prince offer?

David Cannon Prince specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LITTLE ROCK, Arkansas for a consultation.

What are David Cannon Prince's credentials?

David Cannon Prince is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Cannon Prince located?

David Cannon Prince is based in LITTLE ROCK, Arkansas, working with STEPHENS INC.. Their office serves clients in the LITTLE ROCK metropolitan area and surrounding communities.

How does David Cannon Prince charge for services?

David Cannon Prince's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STEPHENS INC.?

STEPHENS INC. has approximately 629 employees and manages $14.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →