Malachy J. Vance
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.
Malachy J Vance, CFP®, who also goes by Malachy Joseph Vance, Mal Vance, was a registered financial professional .
Malachy is a previously registered financial professional and started their career in finance in 1984. Malachy had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
September 3, 2025 - March 17, 2026
LPL FINANCIAL LLC
September 3, 2025 - March 17, 2026
LPL FINANCIAL LLC
May 5, 2025 - August 26, 2025
OSAIC WEALTH, INC.
May 5, 2025 - August 26, 2025
OSAIC WEALTH, INC.
March 16, 2022 - February 5, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 10, 2022 - February 5, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 9, 2020 - April 16, 2021
CORRADO ADVISORS, LLC
January 15, 2020 - April 16, 2020
EQUITABLE ADVISORS, LLC
October 15, 2019 - April 16, 2020
EQUITABLE ADVISORS, LLC
April 1, 2010 - April 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 1, 2010 - April 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 14, 2008 - January 27, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 30, 2004 - January 27, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 14, 1992 - December 31, 1992
CADARET, GRANT & CO., INC.
August 10, 1984 - January 24, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 10, 1984 - January 24, 1989
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 9/3/2025
Operations Professional ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
