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Malia Ark Uota

Stifel, Nicolaus & Company, Inc.

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About Malia Ark Uota

Malia Uota is an investment advisor representative with Stifel, Nicolaus & Company, Inc. Malia has been in the financial services industry since 2013 and has a Series 7 and Series 66 license. Malia's office is located at 1099 AlaKEA Street, SUITE 1510 in HONOLULU, HI. Malia previously worked at MORGAN STANLEY.

Firm Information

Malia Uota is currently registered with Stifel, Nicolaus & Company, Inc.. Stifel, Nicolaus & Company, Inc. is a corporation headquartered in ST LOUIS, MO, United States. Founded in 1900, the firm provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. With over 5,000 registered representatives and $149.2 billion in regulatory assets under management, the firm serves a wide range of clients including high-net-worth individuals, corporations, and institutional investors.
Stifel, Nicolaus & Company, Inc.

501 N BROADWAY

ST LOUIS, MO 63102

$149.25B

Assets Under Management

Not reported

Total Clients

4,272

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Malia Uota’s Registration & Firm History

HI

10/23/2015 - Present

Stifel, Nicolaus & Company, Inc. (HONOLULU HI)

HI

11/02/2013 - 10/28/2015

MORGAN STANLEY (HONOLULU HI)

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Licenses & Designations

BOTH

Issued 02/01/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Malia Ark Uota.
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