Vincent K. Maloney
Professional summary
Vincent Keith Maloney, who also goes by Keith Maloney, is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in White Plains, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1983. Vincent has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 3, Series 15, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent Keith Maloney's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2001 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 599 West Hartsdale Avenue, White Plains, NY 10607October 4, 1993 - June 1, 1994
CITICORP INVESTMENT SERVICES
September 21, 1983 - July 18, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2004)
(5/14/2004)
(2/25/2004)
(5/14/2004)
(1/2/2018)
(12/7/2001)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 15
Date: 11/12/1984
Foreign Currency Options ExaminationFINRA
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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