Charles V. Malico
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.
Charles Vincent Malico, who also goes by Charlie Malico, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 21 firms and has passed the Series 63, SIE 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
June 8, 2016 - April 21, 2022
NETWORK 1 FINANCIAL SECURITIES INC.
November 3, 2015 - March 7, 2016
NETWORK 1 FINANCIAL SECURITIES INC.
September 11, 2014 - October 30, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
October 4, 2012 - September 2, 2014
GLOBAL ARENA CAPITAL CORP
May 31, 2012 - October 8, 2012
B.B. GRAHAM & COMPANY, INC.
January 3, 2011 - May 31, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
May 6, 2009 - January 3, 2011
GLOBAL ARENA CAPITAL CORP
August 19, 2008 - May 29, 2009
CLARK DODGE & CO., INC.
February 10, 2005 - August 26, 2008
J.P. TURNER & COMPANY, L.L.C.
July 25, 2002 - February 11, 2005
VFINANCE INVESTMENTS, INC
February 5, 2001 - July 16, 2002
GREAT EASTERN SECURITIES, INC.
September 26, 2000 - February 1, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 22, 1997 - October 13, 2000
J.P. TURNER & COMPANY, L.L.C.
May 8, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
February 8, 1996 - May 21, 1997
TASIN & COMPANY, INC.
October 11, 1994 - December 20, 1995
MEYERS POLLOCK ROBBINS, INC.
July 11, 1994 - September 14, 1994
LADENBURG CAPITAL MANAGEMENT INC.
April 19, 1994 - June 16, 1994
JOSEPHTHAL & CO., INC.
August 9, 1990 - December 20, 1993
ROBERT TODD FINANCIAL CORP.
June 21, 1990 - August 16, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 22, 1990 - June 25, 1990
ROBERT TODD FINANCIAL CORP.
February 5, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
May 20, 1988 - February 14, 1990
J. T. MORAN & CO., INC.
February 2, 1987 - May 21, 1988
SHERWOOD CAPITAL, INC.
January 1, 1987 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
