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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-10-22
KS RA APPROVED 2003-05-10
MO RA APPROVED 1995-10-31
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • KS RA
    APPROVED
    Since 2003-05-10
  • MO RA
    APPROVED
    Since 1995-10-31

Branch Locations

2342 Technology Drive Suite 300, O'FAllon, MO 63368 • United States

2021 S. Lindbergh Blvd., Frontenac, MO 63131 • 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
Stifel, Nicolaus & Company, Incorporated St Charles MO 05/1986 Present
Other Businesses

1. MNR LLC; 1 LAKE FOREST CT. E. ST. CHARLES MO 63301; AN LLC TO ADD PROTECTION AGAINST LAWSUITS; PRESIDENT; BROKERAGE SERVICES; BUY AND SELL, MARGIN, TAKE MONEY OUT AND ADD MONEY; BROKERAGE SERVICES; AFFILIATION STARTED 01/06/2014; 1 HOUR PER DAY; DURING SECURITIES TRADING HOURS. 2. MRJC LLP; 1 Lake Forest CT. E. St. Charles MO 63301; recreation farm and sod farm; Principal; attends board meetings; affiliation started 02/01/2016; 2 hours per month; not during securities trading hours; not investment related. 3. Birthright of St Charles Inc; 2125 Bluestone Drive Suite A, St Charles, MO 63303; Counseling and support for pregnant mothers; Advisory for endowment investment selections; Meeting once a month to review and committee investments; 05/03/2021; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. DFM LLC; 2025 Zumbehl Road #30, St Charles, MO 63303; Purchases of homes to rehab and sell; Real Estate house flipping; 10/20/2021; 5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 5. Birthright of St. Charles; 2125 Bluestone Dr, St. Charles, MO 63301; Provides Alternatives to abortions; Board Member; Attend monthly Board meetings; 06/01/2022; 5 Hours per Month; Not during securities trading hours; Not Investment-Related. 6. Birthright of St Charles Inc; 2125 Bluestone Drive Suite A, St Charles, MO 63303; providing counseling for pregnant mothers; investment committee chairman; decide with other members of the committee about portfolio management; 05/01/2025; 3hrs/mth; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-13
S63 Uniform Securities Agent State Law Examination 1986-07-23
  • S65 Uniform Investment Adviser Law Examination
    1999-07-13
  • S63 Uniform Securities Agent State Law Examination
    1986-07-23
Other Names
  • Mark E Riordan

View on SEC IAPD

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