Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Anthony Otten is a registered representative with Stifel, Nicolaus & Company, Inc. Mark has over 30 years of experience in the financial services industry. Mark has been registered with the state of Wisconsin since July 2009 and has passed numerous industry examinations including the Series 63, Series 65, Series 7, Series 31 and the Securities Industry Essentials Exam. Prior to joining Stifel, Nicolaus & Company, Inc., Mark was employed at Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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2
WI
07/24/2009 - Present
Stifel, Nicolaus & Company, Inc. (BROOKFIELD WI)
WI
06/01/2009 - 08/14/2009
MORGAN STANLEY SMITH BARNEY (WAUKESHA WI)
WI
01/05/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WAUKESHA WI)
NY
06/12/1992 - 01/18/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/10/1992
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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