Individual Firm
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MARK JAY ELSTON
CRD#: 702496
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 50 W. LIBERTY
SUITE 100
RENO, NV 89501
SUITE 100
RENO, NV 89501
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12/17/2014
Employment Separation After Allegations
State Registrations
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Alabama 11/2/2017
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Nevada 12/24/2014
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Arizona 3/2/2015
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Nevada 1/28/2015
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California 12/24/2014
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New Jersey 9/18/2015
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Colorado 12/24/2014
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New York 9/8/2015
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Florida 3/23/2022
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North Carolina 12/20/2022
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Georgia 4/21/2023
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Oregon 5/1/2015
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Hawaii 4/7/2017
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South Dakota 10/26/2015
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Idaho 12/24/2014
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Tennessee 2/3/2015
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Illinois 9/30/2021
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Texas 12/24/2014
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Kansas 12/24/2014
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Texas 3/2/2015
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Kentucky 9/10/2021
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Utah 12/24/2014
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Michigan 4/26/2023
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Virginia 5/9/2019
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Mississippi 12/24/2014
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Washington 12/24/2014
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Missouri 5/7/2015
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Wisconsin 1/16/2015
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Montana 5/12/2015
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Wyoming 8/22/2019
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Nebraska 10/3/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 12/24/2014
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Registered with this firm since 12/24/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2012 - 12/26/2014 | RENO, NV | |
B | 10/15/2012 - 12/26/2014 | RENO, NV | |
IA | 03/08/2004 - 10/16/2012 | RENO, NV | |
B | 03/08/2004 - 10/16/2012 | RENO, NV | |
IA | 01/02/1997 - 03/23/2004 | RENO, NV | |
B | 03/02/1998 - 03/23/2004 | NEW YORK, NY | |
B | 08/12/1994 - 03/02/1998 | ||
B | 09/04/1990 - 09/02/1994 | ST. LOUIS, MO | |
B | 02/26/1988 - 09/04/1990 | ||
B | 04/01/1986 - 03/08/1988 | ||
B | 10/29/1984 - 04/01/1986 | ||
B | 12/21/1979 - 11/07/1984 |
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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.
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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.
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