Mark Hainer
Mark Hainer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Louisville, KY, with 31 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
600 North Hurstbourne Parkway, Suite 100, Louisville, KY, 40222
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2011Customer Dispute
April 2009Customer Dispute
July 2000Other 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, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations17 states
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.