MM
Malcolm D. Maclennan
NFSG
LOS ANGELES, CA 90071
Some features on this profile are disabled
CRD#: 1630655
MM
Professional summary
Malcolm Douglas Maclennan, who also goes by Malcolm Maclennon, is a registered financial advisor currently at NFSG CORPORATION located in Los Angeles, California and NEWBRIDGE SECURITIES CORPORATION located in Los Angeles, California.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Malcolm has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Malcolm Maclennon
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.
POSITION: Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2017
ADDRESS: 545 South Figueroa Street, Suite 1217, Los Angeles CA 90071, United States
DESCRIPTION: Insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Douglas Maclennan'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
March 10, 2020 - Present
NFSG CORPORATION
Office #1: 545 South Figueroa Street, Suite 1217, Los Angeles, CA 90071RIA
CRD#: 130814
LOS ANGELES, CA
Current
March 29, 2019 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 545 South Figueroa Street, Suite 1217, Los Angeles, CA 90071BD
CRD#: 104065
Los Angeles, CA
Past
March 17, 2017 - April 3, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
LOS ANGELES, CA
Past
March 16, 2017 - April 3, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
LOS ANGELES, CA
Past
November 24, 2010 - March 27, 2017
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
LOS ANGELES, CA
Past
November 12, 2010 - March 27, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
LOS ANGELES, CA
Past
June 12, 2009 - December 10, 2010
CROWELL, WEEDON & CO.
RIA
CRD#: 193
LOSA NGENES, CA
Past
July 7, 2005 - December 10, 2010
CROWELL, WEEDON & CO.
BD
CRD#: 193
LOS ANGELES, CA
Past
November 2, 1998 - July 11, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PASADENA, CA
Past
November 7, 1994 - July 11, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 2, 1987 - November 16, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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
Alaska(10/24/2024)
RR
Arizona(4/5/2019)
RR
California(3/29/2019)
IAR
California(3/10/2020)
RR
Connecticut(4/5/2019)
RR
District of Columbia(4/5/2019)
RR
Florida(1/4/2023)
RR
Georgia(4/5/2019)
RR
Maryland(4/5/2019)
RR
Michigan(4/5/2019)
RR
Nevada(4/5/2019)
RR
New Jersey(4/5/2019)
RR
New York(4/5/2019)
RR
Ohio(4/5/2019)
RR
Oregon(4/5/2019)
RR
Tennessee(4/5/2019)
RR
Texas(4/5/2019)
IAR
Texas(10/7/2020)
RR
Virginia(4/5/2019)
RR
Washington(4/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
