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MARK CLIFFORD FRENCH
CRD#: 1829901
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2850 NORTH HARWOOD
18TH FLOOR
DALLAS, TX 75201
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2003 (2 years)2 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2016 (7 years)2 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1995 - 2000 (5 years)
Disclosure(s)
View By:
9/21/2021
Employment Separation After Allegations
7/8/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/21/2021

B
Nevada 9/21/2021

B
Arkansas 9/21/2021

B
New York 9/21/2021

B
California 9/21/2021

B
North Carolina 9/21/2021

B
Colorado 9/21/2021

B
Oklahoma 9/22/2021

B
Connecticut 7/26/2023

B
Oregon 2/20/2024

B
Florida 9/21/2021

B
Pennsylvania 9/26/2024

B
Georgia 9/22/2021

B
South Carolina 9/21/2021

B
Hawaii 9/23/2021

B
Tennessee 9/21/2021

B
Illinois 9/30/2021

B
Texas 9/21/2021

B
Indiana 9/21/2021

IA
Texas 9/21/2021

B
Louisiana 9/21/2021

B
Utah 8/15/2023

B
Mississippi 9/21/2021

B
Virginia 9/21/2021

B
Missouri 11/7/2024

B
Washington 12/10/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 9/21/2021

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 9/21/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/21/2016 - 10/21/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FRISCO, TX
B
03/21/2016 - 10/21/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FRISCO, TX
IA
12/11/2008 - 03/30/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PLANO, TX
B
12/11/2008 - 03/30/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PLANO, TX
IA
02/25/2005 - 12/12/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GERMANTOWN, TN
B
02/25/2005 - 12/12/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GERMANTOWN, TN
IA
07/01/2003 - 02/28/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) MEMPHIS, TN
B
07/01/2003 - 02/28/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
11/17/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) MEMPHIS, TN
B
11/17/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
10/03/1995 - 11/30/2000 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
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Broker
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.