MH
Mary S. Handy
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CRD#: 7177642
MH
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.
Mary Stovall Handy, who also goes by Mary Handy, Mary Alice Stovall, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2019. Mary had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mary Handy | Mary Alice Stovall
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. Stovall, Stovall, & Stovall Properties; 2400 Pleasant View VA 24171;land/property management; Partner, 11/24/2015;2 hr/mo; not during securities trading hours; investment related. 2. Corner Rock Properties, LLC; 2400 Pleasant View Drive Stuart VA 24171; Land holding LLC; Member; Discuss land holdings with other members; 11/24/15; .5 hr/mo; not during securities trading hours; investment related. 3. Rental property; 106 Biggs Lane Stuart VA 24171; owner; 5/30/2005; 1 hr/mo; not during securities trading hours; investment related. 4. Virginia Museum of Natural History Foundation Board;21 Starling Ave Martinsville VA 24112; To raise funds and provide support, monetarily or otherwise, to the mission of the Virginia Museum of Natural History; Member of Finance committee; Review and approve quarterly budget to actual financials, annual audits, and annual budgets. Vote on approval of items to recommend to the Executive Committee of the Board; 7/1/14; 5 hr/mo; during securities trading hours; investment related. 5. Patrick County Educational Foundation; 105 Stonewall Court, Stuart, VA 24171; To promote and enhance post high school education in Patrick County; Board member; Attend quarterly meetings and participate in discussions to further the cause of the foundation; 06/30/2020; 1.5 Hours per Quarter; During Securities Trading Hours; Not Investment-Related. 6. Martinsville-Henry County Chamber of Commerce; 115 Broad Street, Martinsville, VA 24112; Local Chamber of Commerce; Secretary/Treasurer; Chair the Finance Committee; 07/01/2020; 2 Hours per Quarter; During Securities Trading Hours; Not Investment-Related. 7. Pleasant View Baptist Church; 4432 Pleasant View Drive, Patrick Springs, VA 24133; Religious Organization; Sunday school church secretary; Record attendance and count tithes; 08/012008; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related. 8. Virginia Skyline Girl Scout Council, Troop 1302; 3663 Peters Creek Road, NW, Roanoke, VA 24019; Leadership development program for girls; Brownie Leader; Semi-monthly meetings, fundraising, assist with funds management; 05/31/2018; 8 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 9. Patrick County Educational Foundation; 105 Stonewall Court, Stuart, VA 24171; To promote and enhance post high school education; Treasurer; Signing checks; 03/08/2021; 1.5 Hours per Quarter; During Securities Trading Hours; Not Investment-Related. 10. Executor of Family Estate. 11. Liberty Farms, LLC; 2400 Pleasant View Drive, Stuart, VA 24171; Cattle Farm; Bookkeeper; Responsible for bill payment and financial statement preparation; 11/06/2020; 4 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 12. Long Level, LLC; 106 Biggs Ln, Stuart, VA 24171; President/Treasurer; Manage the finances of the business and responsible for tax reporting; 06/15/2021; 5 Hour per Year; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
December 23, 2019 - September 13, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MARTINSVILLE, VA
Past
December 2, 2019 - September 13, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MARTINSVILLE, VA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/2/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
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.
