Alfred D. Mallard
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.
Alfred Daniel Mallard was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1984. Alfred had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 18, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2009 - January 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 11, 2006 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 2006 - January 11, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 6, 1996 - March 31, 2006
SYNOVUS SECURITIES, INC.
August 2, 1996 - March 31, 2006
SYNOVUS SECURITIES, INC.
July 10, 1990 - January 2, 1996
DAVENPORT & COMPANY LLC
November 3, 1987 - July 27, 1990
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
April 23, 1987 - July 27, 1990
LEGG MASON WOOD WALKER, INCORPORATED
September 20, 1984 - April 15, 1987
SCOTT & STRINGFELLOW, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 55
Date: 5/5/2000
Limited Representative-Equity Trader ExamSeries 18
Date: 9/15/1984
Securities Industry Rules and Regulations ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
