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JOHN MARK CASH
CRD#: 2870741
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 406 THIRD AVENUE NW
HICKORY, NC 28601
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2018 - Present (6 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)1999 - 2018 (18 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1999 - 1999 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 1999 (1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2002 - 2018 (16 years)
Disclosure(s)
View By:
2/10/2012
Customer Dispute
Denied
8/23/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/21/2018

IA
North Carolina 9/21/2018

B
Florida 9/21/2018

B
South Carolina 9/21/2018

B
Georgia 9/21/2018

IA
Texas 9/21/2018

B
North Carolina 9/21/2018

SRO Registrations

B
Cboe BZX 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 principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
406 THIRD AVENUE NW, HICKORY, NC 28601
Registered with this firm since 9/21/2018

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
406 THIRD AVENUE NW, HICKORY, NC 28601
Registered with this firm since 9/21/2018

Previous Registration(s)
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IA
06/28/2002 - 09/25/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HICKORY, NC
B
10/01/1999 - 09/25/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HICKORY, NC
B
02/17/1999 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
B
05/16/1997 - 02/22/1999 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.