Malcolm G. Pickett
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.
Malcolm Gene Pickett, who also goes by Mick Pickett, was a registered financial advisor .
Malcolm is a previously registered financial advisor and started their career in finance in 1985. Malcolm had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2009 - October 7, 2014
NPB FINANCIAL GROUP, LLC
March 18, 2009 - October 7, 2014
NPB FINANCIAL GROUP, LLC
October 22, 2008 - February 27, 2009
LIBERTY GROUP, LLC
July 3, 2003 - May 30, 2008
LIBERTY GROUP, LLC
August 13, 2001 - February 27, 2009
LIBERTY GROUP, LLC
May 1, 2000 - July 6, 2001
NATIONAL PLANNING CORPORATION
July 11, 1997 - May 22, 2000
ASSOCIATED SECURITIES CORP.
August 31, 1995 - October 8, 1997
LIGHTPATH CAPITAL, INC
August 13, 1991 - August 1, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 15, 1990 - July 10, 1991
GRIFFIN FINANCIAL SERVICES
January 2, 1990 - January 10, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 2, 1990 - January 10, 1990
MONY SECURITIES CORPORATION
May 24, 1988 - December 15, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
November 19, 1985 - May 18, 1988
CAPITAL BROKERAGE CORPORATION
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
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
