Ronnie R. Malick
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.
Ronnie Ray Malick, who also goes by Ron Malick, was a registered financial professional .
Ronnie is a previously registered financial professional and started their career in finance in 1985. Ronnie had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2017 - February 8, 2019
BASEPOINT WEALTH, LLC
February 27, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 1, 1999 - October 10, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 1985 - October 10, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BASEPOINT WEALTH, LLC
CRD#: 289538 / SEC#: 801-111782
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
BASEPOINT WEALTH, LLC
CRD#: 289538 / SEC#: 801-111782
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,881 |
| AUM (Assets Under Management) | $ 776,175,833 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2025 | ||
| 10/23/2024 | ||
| 08/22/2023 |
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.
