Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark David Small is a financial professional with over 13 years of experience in the industry. Mark currently works at Stifel, Nicolaus & Company, Inc., where he provides financial advice and services to a wide range of clients. His career has included experience at various firms, including MAINFIRST SECURITIES US INC. and EVOLUTION SECURITIES US INC. Mark is registered with FINRA and holds several industry licenses. He is a valuable resource for individuals and institutions seeking professional financial guidance.
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
MD
01/17/2022 - Present
Stifel, Nicolaus & Company, Inc. (BALTIMORE MD)
NA
11/13/2013 - 02/16/2021
MAINFIRST SECURITIES US INC. (LONDON )
NA
05/19/2009 - 03/12/2012
EVOLUTION SECURITIES US INC. (LONDON )
NY
02/15/2007 - 05/14/2009
DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)
BC
Issued 09/19/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2007
Series 17 - Limited Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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