Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Randall Neustrom is a financial advisor at Stifel, Nicolaus & Company, Inc. Mark has over 30 years of experience in the financial services industry. Mark has a strong track record of helping clients achieve their financial goals. Mark is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, and SIE licenses. Mark is also a registered investment advisor in several states. Mark specializes in providing financial advice to individuals, families, and businesses.
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
CO
06/05/2015 - Present
Stifel, Nicolaus & Company, Inc. (DENVER CO)
CA
01/03/2012 - 06/05/2015
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
09/15/2011 - 12/05/2011
MF GLOBAL INC. (SAN FRANCISCO CA)
CA
04/07/2003 - 07/05/2011
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
NY
05/01/2001 - 04/08/2003
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/17/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
10/16/2000 - 04/24/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
06/06/1994 - 10/16/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
06/09/1992 - 05/13/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 03/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1992
Series 7 - General Securities 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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