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Mark Anthony Otten

Stifel, Nicolaus & Company, Incorporated

Brookfield, WI

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2009-07-24
  • WI RA
    APPROVED
    Since 2009-07-24

Branch Locations

18000 West Sarah Lane Suite 180, Brookfield, WI 53045 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Brookfield WI 07/2009 Present
  • 07/2009 → Present
    Stifel Nicolaus & Co Inc
    Brookfield, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-06
S63 Uniform Securities Agent State Law Examination 1992-06-26
  • S65 Uniform Investment Adviser Law Examination
    2001-11-06
  • S63 Uniform Securities Agent State Law Examination
    1992-06-26

View on SEC IAPD

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