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WM

William A. Malloy

Some features on this profile are disabled
CRD#: 1492864
WM

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"?
No

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

BD
CRD#: 17609
TAMPA, FL
Past

July 14, 2003 - September 29, 2004

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

June 20, 2003 - May 20, 2004

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

July 15, 2002 - June 17, 2003

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

October 31, 2000 - October 29, 2001

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

September 14, 1994 - October 17, 1996

MARION BASS SECURITIES CORPORATION

BD
CRD#: 7961
CHARLOTTE, NC
Past

January 28, 1993 - November 23, 1993

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

March 11, 1991 - November 5, 1991

REICH & CO., INC.

BD
CRD#: 3148
Past

April 12, 1988 - January 9, 1989

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279
Past

January 29, 1988 - January 9, 1989

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 24, 1986 - January 29, 1988

KUHNS BROTHERS & LAIDLAW, INC.

BD
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
RR
Series 63
Date: 11/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/18/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/30/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/4/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/7/2001
General Securities Principal Examination

Current Firm

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

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

BD
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

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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