Arthur Buring

Stephens

42 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Stephens

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

243 advisors

Number of Clients

21,683 clients

Average Client Portfolio

$720K average

Assets Under Management

$15.6B

Fee Structure

Location

6075 Poplar Avenue, Crescent Center, Memphis, TN, 38119

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

January 2012

Settled

Customer Dispute

March 1998

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

StephensBroker

January 2012 - Present · 14 yrs 1 mo

Stephens

January 2012 - Present · 14 yrs 1 mo

Previous Registrations

Morgan Stanley Smith Barney LLC

June 2009 - February 2012 · 2 yrs 8 mos

Morgan Stanley Smith BarneyBroker

June 2009 - February 2012 · 2 yrs 8 mos

Morgan Stanley & CO. IncorporatedBroker

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley & CO. Incorporated

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley

January 2004 - April 2007 · 3 yrs 3 mos

Morgan Stanley Dw INC.Broker

October 2000 - April 2007 · 6 yrs 6 mos

Morgan Keegan & Company, INC.Broker

November 1983 - October 2000 · 16 yrs 11 mos

State Registrations34 states

ALARAZCACOCTDCFLGAIAILINKYLAMAMDMOMSNCNHNJNMNVNYOHOKORPASCTNTXVAWAWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.