Mark James Sindowski

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → 11/2017
  Waddell & Reed, Inc.
  Chicago, IL
• 02/2010 → 11/2017
  Various Insurance Carriers For W & R Insurance Agencies
  Chicago, IL
• 06/2014 → 11/2017
  Mark J. Sindowski Inc
  Alsip, IL
• 11/2017 → 12/2020
  Raymond James & Associates Inc
  Chicago, IL
• 12/2020 → 04/2025
  B.RIley Wealth Management
  Chicago, IL
• 07/2022 → 04/2025
  B. Riley Wealth Advisors, Inc.
  Chicago, IL
• 04/2025 → Present
  Stifel, Nicolaus & Company, Incorporated
  Chicago, IL

Previous Registrations

• 2022-08-25 → 2025-04-08
  B. Riley Wealth Advisors, Inc.
  Chicago, IL
• 2020-12-11 → 2022-12-31
  B. Riley Wealth Management
  Chicago, IL
• 2017-11-29 → 2020-12-15
  Raymond James & Associates, Inc.
  Chicago, IL
• 2010-04-16 → 2017-12-04
  Waddell & Reed
  Chicago, IL
  Savage, MN
  Savage, MN

Exams

• S66 Uniform Combined State Law Examination
  2010-04-15

Designations

• Certified Financial Planner

Other Names

• Mark Sindowski