Malcolm E. Mcguire
Professional summary
Malcolm Edward Mcguire III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Malcolm is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Malcolm had worked at 7 firms, which includes BERRY-SHINO SECURITIES INC., NTB FINANCIAL CORPORATION, GAINEY FINANCIAL SERVICES INC., SCHNEIDER SECURITIES INC., TAMARON INVESTMENTS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1996 - August 18, 1999
BERRY-SHINO SECURITIES, INC.
March 19, 1993 - October 1, 1996
NTB FINANCIAL CORPORATION
September 8, 1992 - March 20, 1993
GAINEY FINANCIAL SERVICES, INC.
December 7, 1990 - August 31, 1992
SCHNEIDER SECURITIES, INC.
December 19, 1989 - November 15, 1990
TAMARON INVESTMENTS, INC.
July 5, 1989 - December 12, 1989
SCHNEIDER SECURITIES, INC.
April 29, 1987 - February 7, 1989
LEHMAN BROTHERS INC.
November 21, 1984 - May 13, 1987
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BERRY-SHINO SECURITIES, INC.
CRD#: 38098 / SEC#: , 8-48091
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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