Mark S. Stickel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Steven Stickel, who also goes by M Steven Stickel, Steven Stickel, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2022 - December 31, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 5, 1993 - December 9, 2022
CANTELLA & CO., INC.
January 4, 1988 - March 6, 1993
BERMAN AND STICKEL INCORPORATED
November 3, 1987 - January 12, 1988
GRIGSBY & ASSOCIATES, INC.
December 16, 1985 - October 12, 1987
J.P. MORGAN SECURITIES LLC
June 14, 1985 - December 23, 1985
B.O.C.L. SECURITIES CORP.
May 17, 1983 - March 19, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
August 1, 1980 - July 7, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
