Mark Kennedy, financial advisor Pueblo CO

Mark Kennedy

CRD Number: 874038
Current Firm: Stifel, Nicolaus & Company, Incorporated

Mark Kennedy (CRD# 874038) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Pueblo, CO and has over 44 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Pueblo, CO Sep 2009 - Current 14
Ubs Financial Services Inc. Pueblo, CO Aug 2006 - Current 17
Piper Jaffray Inc. Pueblo, CO Jul 1993 - Current 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1979
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Mark A. Kennedy
Phone Number: 314-342-2000
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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