Stephen B. Malter
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.
Stephen Bruce Malter, CFP®, who also goes by Stephen B Malter, Steve Malter, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - September 13, 2024
INVESTMENT DISTRIBUTORS, INC.
April 14, 2009 - September 13, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 8, 2009 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 18, 2007 - March 23, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
April 26, 2002 - August 24, 2006
MML DISTRIBUTORS, LLC
April 23, 2001 - November 5, 2001
JOHN HANCOCK DISTRIBUTORS LLC
April 12, 2000 - May 21, 2002
EPLANNING SECURITIES, INC.
May 25, 1988 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 25, 1988 - April 28, 2000
SIGNATOR INVESTORS, INC.
February 18, 1987 - April 28, 1988
VP DISTRIBUTORS LLC
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
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEE, FELICIA MALLOCH | SECRETARY | 7498538 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | SR ANALYST FINANCIAL REPORTING | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
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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