Robert K. Malkin
Professional summary
Robert Keith Malkin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Robert had worked at 6 firms, which includes CANTELLA & CO. INC., J. ALEXANDER SECURITIES INC., SOUTHERN CALIFORNIA SECURITIES INC., F.T. BANK & ASSOCIATES INC., VANGUARD CAPITAL, MUNICICORP OF CALIFORNIA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1995 - June 1, 2006
CANTELLA & CO., INC.
April 20, 1994 - April 17, 1995
J. ALEXANDER SECURITIES, INC.
February 10, 1992 - August 19, 1994
SOUTHERN CALIFORNIA SECURITIES, INC.
July 29, 1991 - January 10, 1992
F.T. BANK & ASSOCIATES, INC.
October 4, 1989 - December 5, 1991
VANGUARD CAPITAL
January 25, 1984 - October 17, 1989
MUNICICORP OF CALIFORNIA
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
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
