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Mark Hainer

Stifel, Nicolaus & Company, Incorporated
31 Years of Experience
Louisville, KY
3 DisclosuresBroker
View SEC Summary
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Mark Hainer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Louisville, KY, with 31 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

600 North Hurstbourne Parkway, Suite 100, Louisville, KY, 40222

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2011
Settled
Customer Dispute
April 2009
Settled
Customer Dispute
July 2000
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is involved in several outside business activities, including serving as CFO for RuffleGirl INC and Greyson Chase Holdings, and as a land finder for East Peak Investment Co. He also serves as a board member for Elizabethtown Country Club and is a partner in Sip Style Rentals.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
January 2014 - Present · 12 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
January 2014 - Present · 12 yrs 9 mos
Previous Registrations
UBS Financial Services INC.Broker
January 2007 - January 2014 · 7 yrs
UBS Financial Services INC.
January 2007 - January 2014 · 7 yrs
Merrill Lynch Pierce Fenner & Smith INC.
February 1995 - January 2007 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1995 - January 2007 · 12 yrs
State Registrations17 states
ARCAFLGAILINKYMOMSNCNYOHPASCTNTXWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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