Jeffrey Malken
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.
Jeffrey Malken was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 14 firms and has passed the Series 63, SIE, Series 6 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
August 23, 2019 - June 10, 2020
LPL FINANCIAL LLC
September 2, 2017 - October 11, 2017
EQUITABLE ADVISORS, LLC
December 11, 2000 - November 16, 2001
LEGACY FINANCIAL SERVICES, INC.
August 3, 2000 - August 4, 2000
SENTRA SECURITIES CORPORATION
March 19, 1999 - October 30, 2000
KOVACK SECURITIES INC.
February 26, 1999 - March 19, 1999
KOVACK SECURITIES INC.
September 29, 1994 - March 10, 1999
PREFERRED SECURITIES GROUP, INC.
June 17, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
January 18, 1991 - July 9, 1992
JOSEPHTHAL & CO., INC.
December 17, 1990 - January 16, 1991
CADARET, GRANT & CO., INC.
September 6, 1988 - December 21, 1990
RICHARD SCOTT ASSET MANAGEMENT, INC.
April 15, 1988 - July 23, 1988
CAL FED INVESTMENTS
October 26, 1987 - April 22, 1988
CAPITAL BROKERAGE CORPORATION
February 27, 1987 - October 28, 1987
DAVID LERNER ASSOCIATES, INC.
February 24, 1987 - May 2, 1987
TARA SECURITIES CORP.
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
Current 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 |
| 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 | 208 |
| 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.
