MR
Malcolm G. Roane
OSAIC INSTITUTIONS
Downey, CA 90242
Some features on this profile are disabled
CRD#: 1553830
MR
Professional summary
Malcolm Glenn Roane is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Downey, California.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Malcolm has worked at 13 firms and has passed the Series 66, Series 63, Series 72, SIE, Series 7 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) AmerEstate Legal Plan, Inc. Living Trusts and Wills. Referals. Approx 2 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Glenn Roane's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Glenn Roane's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7800 Imperial Hwy, Downey, CA 90242RIA
BD
CRD#: 35371
Downey, CA
Current
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7800 Imperial Hwy, Downey, CA 90242RIA
BD
CRD#: 35371
Downey, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
DOWNEY, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
DOWNEY, CA
Past
November 23, 2005 - June 20, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
DOWNEY, CA
Past
November 15, 2005 - June 20, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
DOWNEY, CA
Past
August 27, 2004 - November 2, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 15, 2003 - July 26, 2004
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
July 20, 1998 - March 17, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
July 14, 1997 - September 19, 1997
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
DALLAS, TX
Past
May 14, 1997 - July 14, 1998
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
August 30, 1995 - July 5, 1996
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
September 9, 1994 - July 12, 1995
GSC SECURITIES, INC.
BD
CRD#: 17013
Past
September 9, 1994 - July 12, 1995
GOVERNMENT SECURITIES CORPORATION
BD
CRD#: 19698
Past
March 4, 1994 - August 25, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 16, 1989 - January 13, 1994
MMAR GROUP, INC.
BD
CRD#: 25329
HOUSTON, TX
Past
May 16, 1989 - December 31, 1989
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/4/2022)
IAR
California(5/4/2022)
RR
Florida(5/4/2022)
RR
Georgia(5/4/2022)
RR
Idaho(5/4/2022)
RR
Mississippi(5/13/2025)
RR
Nevada(5/4/2022)
RR
Oregon(5/4/2022)
RR
Texas(5/4/2022)
IAR
Texas(5/4/2022)
RR
Virginia(5/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/12/1989
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
