David M. Maley

1102 PARTNERS

Chicago, IL

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CRD#: 1332635

Professional summary

David Michael Maley is a registered financial advisor currently at 1102 PARTNERS, LLC located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. David has worked at 2 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Board Member; Joseph Maley Foundation; 7128 Lakeview Parkway West Drive, Indianapolis, IN 46268; No compensation; Non-investment related; 1 hour spent per month 2. Investment and Finance Committee Member; Thresholds; 4101 North Ravenswood Avenue, Chicago, IL 60613; No compensation; Investment related; 1-3 hours spent per month 3. ClearSign Technologies Corporation (CLIR); Not-Investment related; 8023 E 63rd Pl., Suite 101, Tulsa, OK. 74133; ClearSign is a publicly traded company which provides energy efficient solutions; Board Member; 04/22/2024; 15 hr/month; Consult with Audit Committee Board members quarterly or more

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Maley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 29, 2021 - Present

1102 PARTNERS, LLC

RIA

CRD#: 313536

Chicago, IL

Past

January 23, 1985 - March 10, 1992

GOLDMAN SACHS & CO. LLC

CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/3/2023)

IAR

Illinois
(4/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 1/23/1986

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 4/11/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 3/1/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Current Firm

1102 PARTNERS, LLC

CRD#: 313536 / SEC#:

California

Registered Investment Advisory firm - (1/3/2023 Approved)

Illinois

Registered Investment Advisory firm - (4/29/2021 Approved)

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Contact information

Main Address

Chicago, IL

Mailing Address

Phone number

(312) 488-9727

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 101,729,201

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.

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David M. Maley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Maley's CRS (Customer Relationship Summary).

Certified licenses

Experience

1102 PARTNERS, LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2021

Series 63

Date: 2/8/1985

Series 15

Date: 1/23/1986

Series 3

Date: 4/11/1985

Series 5

Date: 3/1/1985

Series 7

Date: 1/19/1985

Current Firm

1102 PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

1102 PARTNERS, LLC

TRUST BUT VERIFY

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