Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Hammond is a financial advisor currently working for Stifel, Nicolaus & Company, Inc. with over 20 years of experience in the industry. Mark is registered in 25 states and 4 jurisdictions for investment advisory services. Mark has a series of licenses, including Series 6, 7, 9, 10, 31, 63, and 66. Mark is also licensed to conduct investment advisory business in Connecticut, New Hampshire, Texas, and Utah.
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
CT
02/18/2022 - Present
Stifel, Nicolaus & Company, Inc. (SOUTHBURY CT)
CT
01/01/2008 - 07/15/2009
WELLS FARGO ADVISORS, LLC (HARTFORD CT)
CT
11/19/2003 - 01/03/2008
A. G. EDWARDS & SONS, INC. (HARTFORD CT)
TX
06/12/2002 - 11/19/2003
AFS BROKERAGE, INC. (AUSTIN TX)
IN
01/17/2001 - 06/13/2002
CONSECO SECURITIES, INC. (CARMEL IN)
IN
05/02/2000 - 12/15/2000
CONSECO SECURITIES, INC. (CARMEL IN)
BOTH
Issued 01/08/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/01/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2003
Series 7 - General Securities Representative Examination
BC
Issued 05/01/2000
Series 6 - Investment Company Products/Variable Contracts 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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