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Mark D Malone

Stifel, Nicolaus & Company, Incorporated

West Des Moines, IA

CRD 5951394

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-05-21
TX RA APPROVED 2024-05-21
  • IA RA
    APPROVED
    Since 2024-05-21
  • TX RA
    APPROVED
    Since 2024-05-21

Branch Locations

595 S 60Th Street Suite 260, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner And Smith Incorporated Omaha NE 06/2011 05/2024
Bank Of America, N.A. Des Moines IA 07/2011 05/2024
Stifel, Nicolaus & Company, Incorporated Des Moines IA 05/2024 Present
  • 06/2011 → 05/2024
    Merrill Lynch, Pierce, Fenner And Smith Incorporated
    Omaha, NE
  • 07/2011 → 05/2024
    Bank Of America, N.A.
    Des Moines, IA
  • 05/2024 → Present
    Stifel, Nicolaus & Company, Incorporated
    Des Moines, IA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-14
  • S66 Uniform Combined State Law Examination
    2011-09-14
Designations
  • Certified Financial Planner
Other Names
  • Mark Daniel Malone

View on SEC IAPD

Nearby Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.

Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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