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MH

Mark A. Hoffman

STERN BROTHERS & CO.
St. Louis, MO 63105-3911
Some features on this profile are disabled
CRD#: 1204275
MH

Professional summary

Mark Allen Hoffman, who also goes by Mark A Hoffman, is a registered financial professional currently at STERN BROTHERS & CO. located in St. Louis, Missouri.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 15 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark A Hoffman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Hoffman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 29, 2025 - Present

STERN BROTHERS & CO.

Office #1: 8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
BD
CRD#: 16325
St. Louis, MO
Past

June 1, 2023 - May 29, 2025

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

April 10, 2023 - May 31, 2023

CREWS & ASSOCIATES, INC.

BD
CRD#: 8052
LITTLE ROCK, AR
Past

August 3, 2020 - December 12, 2022

TRUIST SECURITIES, INC.

BD
CRD#: 6271
BOSTON, MA
Past

September 6, 2017 - August 3, 2020

BB&T SECURITIES, LLC

BD
CRD#: 142785
BOSTON, MA
Past

March 4, 2008 - July 12, 2017

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

March 4, 2008 - July 12, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

May 26, 2004 - November 27, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
BOSTON, MA
Past

January 2, 2001 - June 3, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

February 2, 1998 - January 2, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

June 23, 1993 - February 2, 1998

FLEET SECURITIES INC.

BD
CRD#: 7147
NEW YORK, NY
Past

January 12, 1989 - July 29, 1991

BNE CAPITAL MARKETS, INC.

BD
CRD#: 22848
Past

December 24, 1986 - March 16, 1987

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
Past

September 25, 1986 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

BD
CRD#: 7383
Past

November 17, 1983 - September 25, 1986

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(5/29/2025)
RR
New York
(5/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/1983
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SB
STERN BROTHERS & CO.
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Phone number
(314) 727-5519
Established
Missouri since 01/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDEDTRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012TRUST
CLEMENTS, DONALD SIDNEYCHIEF TECHNOLOGY OFFICER4440518
ESSERT, GLENN EDWARDCHIEF COMPLIANCE OFFICER, AMLCO1447868
FINN, PEGGY PRINCECHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE730640
FINN, TERRENCE MICHAELPRESIDENT, DIRECTOR1102166
MIRIANI, JASON ANDREWCFO, TREASURER4547660
WARREN, KAREN KAYPRINCIPAL OPERATIONS OFFICER1316200

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STERN BROTHERS & CO.

CRD#: 16325St. Louis, MO 63105-3911

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