William A. Malloy

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CRD#: 1492864

Professional summary

William Andrew Malloy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, William had worked at 9 firms, which includes GUNNALLEN FINANCIAL INC, DELTA ASSET MANAGEMENT COMPANY LLC, WESTMINSTER SECURITIES CORPORATION, MARION BASS SECURITIES CORPORATION, GILFORD SECURITIES INCORPORATED, REICH & CO. INC., OPPENHEIMER & CO. INC., FAHNESTOCK INTERNATIONAL INC., KUHNS BROTHERS & LAIDLAW INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 10, 2004 - September 29, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

July 14, 2003 - September 29, 2004

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

MINEOLA, NY

Past

June 20, 2003 - May 20, 2004

WESTMINSTER SECURITIES CORPORATION

CRD#: 6105

NEW YORK, NY

Past

July 15, 2002 - June 17, 2003

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

MINEOLA, NY

Past

October 31, 2000 - October 29, 2001

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

MINEOLA, NY

Past

September 14, 1994 - October 17, 1996

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

January 28, 1993 - November 23, 1993

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

March 11, 1991 - November 5, 1991

REICH & CO., INC.

CRD#: 3148

Past

April 12, 1988 - January 9, 1989

OPPENHEIMER & CO. INC.

CRD#: 249

Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

January 29, 1988 - January 9, 1989

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 24, 1986 - January 29, 1988

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/18/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/30/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/4/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/7/2001

General Securities Principal Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

Red Flags

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Firm Stability Insights

William A. Malloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DELTA ASSET MANAGEMENT COMPANY, LLC

WESTMINSTER SECURITIES CORPORATION

DELTA ASSET MANAGEMENT COMPANY, LLC

DELTA ASSET MANAGEMENT COMPANY, LLC

MARION BASS SECURITIES CORPORATION

GILFORD SECURITIES INCORPORATED

REICH & CO., INC.

OPPENHEIMER & CO. INC.

FAHNESTOCK INTERNATIONAL INC.

OPPENHEIMER & CO. INC.

KUHNS BROTHERS & LAIDLAW, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/2000

Series 55

Date: 12/18/2003

Series 7

Date: 10/30/2000

Series 4

Date: 2/4/2002

Series 24

Date: 2/7/2001

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

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