Guy S. Malleus
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.
Guy Stephen Malleus was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1986. Guy had worked at 8 firms and has passed the Series 63 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
March 10, 2014 - September 10, 2014
CV BROKERAGE, INC
August 6, 2007 - September 3, 2013
BOENNING & SCATTERGOOD, INC.
March 9, 2002 - August 16, 2007
RBC CAPITAL MARKETS, LLC
January 20, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
January 31, 1991 - January 22, 1999
HOPPER SOLIDAY & CO., INC.
May 1, 1989 - June 24, 1991
W.H. NEWBOLD'S SON & CO., INC.
January 10, 1989 - May 1, 1989
HOPPER SOLIDAY & CO., INC.
May 30, 1986 - January 12, 1989
FIRST CLEARING, LLC
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
CV BROKERAGE, INC
CRD#: 462 / SEC#: , 8-12429
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
