Carol A. Malnick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carol Ann Malnick, who also goes by Carol Ann Felton, Carol F Malnick, Carol Felton Malnick, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2012 - October 16, 2025
BOSTON COMMON ASSET MANAGEMENT, LLC
January 8, 2003 - November 16, 2004
NELSON CAPITAL MANAGEMENT
January 20, 1989 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 6, 1983 - April 4, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
BOSTON COMMON ASSET MANAGEMENT, LLC
CRD#: 123558 / SEC#: 801-61564
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 4/14/1983
Interest Rate Options ExaminationCurrent Firm
BOSTON COMMON ASSET MANAGEMENT, LLC
CRD#: 123558 / SEC#: 801-61564
Contact information
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 332 |
| AUM (Assets Under Management) | $ 3,584,843,078 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 12/24/2024 | ||
| 01/26/2024 | ||
| 09/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
