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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Anthony Kennedy is an active investment advisor representative registered with Stifel, Nicolaus & Company, Inc.. Mark has been in the securities industry since November 22, 1979. Mark has been registered with Stifel, Nicolaus & Company, Inc. since September 11, 2009. Previously, Mark was registered with UBS Financial Services Inc. from August 12, 2006 to September 11, 2009, and with Piper Jaffray & Co. from July 16, 1993 to August 12, 2006. Mark has passed several securities exams, including the Series 7, 9, 10, 31, 63, and 65 exams. Mark is registered in 41 states and the District of Columbia. Mark has a wide range of experience in the securities industry, including providing financial planning, pension consulting, educational seminars, and portfolio management services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
09/11/2009 - Present
Stifel, Nicolaus & Company, Inc. (PUEBLO CO)
CO
08/12/2006 - 09/11/2009
UBS FINANCIAL SERVICES INC. (PUEBLO CO)
CO
07/16/1993 - 08/12/2006
PIPER JAFFRAY & CO. (PUEBLO CO)
NA
11/23/1979 - 07/22/1993
DAIN BOSWORTH INCORPORATED
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/25/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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