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MARK ANTHONY ROGO
CRD#: 855009
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 3704 OAKWOOD HILLS PKWY
1ST FLOOR
EAU CLAIRE, WI 54701
Registration History
19801985199019952000200520102015202020252 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BPIPER JAFFRAY & CO. (CRD# 665)1979 - 2006 (26 years)BP. J. KISCH & CO., INC. (CRD# 7631)1979 - 1979 (<1 year)BVAN CLEMENS & CO. INCORPORATED (CRD# 6914)1978 - 1979 (1 year)
License(s)

State Registrations

B
Arizona 10/16/2009

B
New York 2/4/2019

B
California 9/23/2015

B
North Carolina 8/26/2022

B
Florida 10/16/2009

B
Utah 2/23/2024

B
Massachusetts 3/3/2023

B
Washington 10/16/2009

B
Michigan 1/3/2023

B
Wisconsin 10/16/2009

B
Minnesota 10/16/2009

IA
Wisconsin 10/16/2009

B
New Mexico 10/16/2009

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3704 OAKWOOD HILLS PKWY 1ST FLOOR, EAU CLAIRE, WI 54701
Registered with this firm since 10/16/2009

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3704 OAKWOOD HILLS PKWY 1ST FLOOR, EAU CLAIRE, WI 54701
Registered with this firm since 10/16/2009

Previous Registration(s)
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IA
08/12/2006 - 10/16/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) EAU CLAIRE, WI
B
08/12/2006 - 10/16/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) EAU CLAIRE, WI
B
11/26/1979 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) EAU CLAIRE, WI
B
06/21/1979 - 12/05/1979 P. J. KISCH & CO., INC. (CRD#:7631)
B
07/21/1978 - 07/21/1979 VAN CLEMENS & CO. INCORPORATED (CRD#:6914)
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B
Broker
IA
Investment Adviser
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.