Mary E. Macukas
STIFEL, NICOLAUS & COMPANY
Santa Fe, NM 87501
Some features on this profile are disabled
CRD#: 5598722
Professional summary
Mary E Macukas, CFP®, CPWA®, who also goes by Mary E. Knutson, Mary E. Roever, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Santa Fe, New Mexico.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mary has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary E. Knutson | Mary E. Roever
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. Santa Fe Symphony Orchestra and Chorus; PO Box 9692, Santa Fe, NM 87504; Symphony orchestra; Board of Directors; Fundraising for and governance of organization; 08/06/2021; 12 Horus per Month; During Securities Trading Hours; Not Investment-Related. 2.Santa Fe Symphony Orchestra and Chorus; 301 Griffin Street, Santa Fe, NM 87501; symphony orchestra; Vice President of Development (board member)-- Executive Committee of the entity; board role as leader of development activities; 09/27/2021; 2 hrs/week; During Securities Trading Hours; Not Investment-Related 3. St. Vincent Hospital Foundation; 455 St. Michael's Drive, Santa Fe, NM 87505; Hospital Foundation; Past Chair; Board role/voting on proposals; 01/02/2023; 4 Hours per quarter; During securities trading hours; Not Investment-Related. 4. Santa Fe Community Foundation; 501 Halona Street Santa Fe NM 87505; community foundation, nonprofit; board member; board governance; 09/01/2023; 5.00hrs/month; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Mary E Macukas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mary E Macukas'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®
CFP®
Start date: 2012
CPWA®
Start date: 2019-12-09
Expire date: 2023-11-30
Experience
Current
September 15, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Current
September 15, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Past
November 20, 2008 - September 24, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SANTA FE, NM
Past
October 27, 2008 - September 24, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SANTA FE, NM
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(9/24/2020)
RR
Alaska(3/24/2022)
RR
Arizona(1/3/2025)
RR
Arkansas(4/7/2021)
RR
California(9/15/2020)
RR
Colorado(9/15/2020)
RR
Delaware(9/15/2020)
RR
Florida(9/15/2020)
RR
Georgia(9/15/2020)
RR
Idaho(9/4/2024)
RR
Illinois(1/3/2025)
RR
Indiana(9/15/2020)
RR
Iowa(9/15/2020)
RR
Kentucky(10/6/2021)
RR
Louisiana(11/9/2020)
RR
Maine(9/15/2020)
RR
Maryland(9/15/2020)
RR
Massachusetts(9/15/2020)
RR
Minnesota(3/12/2025)
RR
Missouri(9/15/2020)
RR
Nevada(9/15/2020)
RR
New Mexico(9/15/2020)
IAR
New Mexico(9/16/2020)
RR
New York(9/15/2020)
RR
North Carolina(9/15/2020)
RR
Ohio(9/20/2022)
RR
Oregon(9/15/2020)
RR
Pennsylvania(2/1/2024)
RR
South Carolina(9/15/2020)
IAR
Texas(9/15/2020)
RR
Texas(6/27/2023)
RR
Utah(4/7/2021)
RR
Virginia(9/15/2020)
RR
Washington(9/15/2020)
RR
West Virginia(4/28/2021)
RR
Wisconsin(9/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
