Mardette C. Maliszewski
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.
Mardette C Maliszewski, who also goes by Mardette Carl Cross, Mardette C Maliszewski Mrs, Mardette Carl Torpey, was a registered financial professional .
Mardette is a previously registered financial professional and started their career in finance in 1986. Mardette had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2021 - August 16, 2023
CAPITAL ONE SECURITIES, INC.
January 2, 2015 - June 11, 2019
CAPITAL ONE INVESTING, LLC
April 23, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
August 13, 2013 - April 2, 2014
MORGAN STANLEY
March 25, 2010 - April 2, 2014
MORGAN STANLEY
July 11, 2007 - November 25, 2009
UBS FINANCIAL SERVICES INC.
July 31, 1993 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
May 14, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
December 26, 1986 - May 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 4/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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