James Aughenbaugh, financial advisor Dallas TX

James Aughenbaugh

CRD Number: 2408807
Current Firm: Stephens

James Aughenbaugh (CRD# 2408807) is an Investment Advisor Representative working at Stephens in Dallas, TX and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Stephens Inc. Dallas, TX Mar 2016 - Current 6
Stephens Inc. Dallas, TX Jun 2013 - Mar 2016 2
Morgan Stanley Smith Barney Southlake, TX Jun 2009 - Jun 2013 4
Citigroup Global Markets South Lake, TX Feb 2008 - Jun 2013 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1995
S66 NASAA Uniform Combined State Law Examination May 2005
Contact Info for James C. Aughenbaugh
Phone Number: 501-377-2000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    15,109
    MILLIONS
  • Total Number of Accounts
    22,311
    ACCOUNTS
  • Average Account Value
    $677,181
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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