Mark R. Maloney
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.
Mark Robert Maloney was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 7 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2006 - September 11, 2013
DEUTSCHE BANK SECURITIES INC.
April 25, 2002 - July 24, 2006
SANFORD C. BERNSTEIN & CO., LLC
March 12, 1994 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 1993 - May 7, 1993
CREDIT SUISSE SECURITIES (USA) LLC
October 25, 1990 - February 9, 1993
MORGAN STANLEY & CO. LLC
March 14, 1988 - October 12, 1990
KIDDER, PEABODY & CO. INCORPORATED
June 23, 1987 - September 22, 1987
MANUFACTURERS HANOVER SECURITIES CORPORATION
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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 55
Date: 7/1/2002
Limited Representative-Equity Trader ExamCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
Red Flags
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