MS
Mark A. Siver
STIFEL, NICOLAUS & COMPANY
Garden City, NY 11530
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CRD#: 1534235
MS
Professional summary
Mark Alan Siver is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Garden City, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Douglas House Foundation; 600 West Drive Douglaston, NY 11363;It is a charitable foundation setup for the preservation of the outside of the Douglaston Club building; Member of Board of Directors; Review projects for the building;8/1/17; 2 hr/qtr; not during securities trading hours; not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Siver's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Siver's 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®
NoneExperience
Current
June 14, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Current
June 14, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Past
April 3, 2007 - June 24, 2019
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
GARDEN CITY, NY
Past
November 3, 2006 - June 24, 2019
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
GARDEN CITY, NY
Past
October 22, 1999 - November 8, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MITCHEL FIELD, NY
Past
May 19, 1992 - October 27, 1999
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
August 19, 1986 - May 21, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(7/6/2022)
RR
Arizona(6/14/2019)
RR
California(6/14/2019)
RR
Colorado(6/14/2019)
RR
Connecticut(6/14/2019)
RR
Delaware(6/14/2019)
RR
District of Columbia(6/14/2019)
RR
Florida(6/14/2019)
RR
Illinois(7/8/2019)
RR
Kansas(6/14/2019)
RR
Kentucky(9/9/2019)
RR
Maine(6/14/2019)
RR
Maryland(6/14/2019)
RR
Massachusetts(6/14/2019)
RR
Michigan(8/22/2019)
RR
Missouri(9/15/2025)
RR
Nevada(6/14/2019)
RR
New Hampshire(6/14/2019)
RR
New Jersey(6/14/2019)
RR
New York(6/14/2019)
IAR
New York(5/26/2021)
RR
North Carolina(6/14/2019)
RR
Oregon(6/14/2019)
RR
Pennsylvania(6/14/2019)
RR
Rhode Island(7/6/2022)
RR
South Carolina(6/14/2019)
RR
Tennessee(6/24/2019)
RR
Texas(6/14/2019)
IAR
Texas(6/14/2019)
RR
Virginia(6/14/2019)
RR
Washington(6/14/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
