Susan W. Malloy

M CAPITAL WEALTH MANAGEMENT

Cheraw, SC 29520

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CRD#: 1659187

Professional summary

Susan Walker Malloy, who also goes by Susan Malloy, is a registered financial advisor currently at M CAPITAL WEALTH MANAGEMENT, LLC located in Cheraw, South Carolina.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Susan has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Malloy

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. MALLOY HOME PLACE, LLC, OWNER OF RENTAL PROPERTY, 321 3RD ST., CHERAW, SC 29520, NON INVESTMENT RELATED, 2 HOURS/MONTH, NONE DURING TRADING HOURS. STARTED: 07/2006 2. MALLOY & COMPANY, CORPORATE SECRETARY, P.O. BOX 605, CHERAW, SC 29520. ACTIVITIES ARE LIMITED TO ATTENDING BOARD MEETINGS FOUR TIMES EACH YEAR. STARTED:2006

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Walker Malloy'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®

None

Experience

Current

December 17, 2010 - Present

M CAPITAL WEALTH MANAGEMENT, LLC

Office #1: 901 Chesterfield Highway Suite B, Cheraw, SC 29520

RIA

CRD#: 155303

Cheraw, SC

Past

February 23, 2007 - November 22, 2010

EDWARD JONES

RIA

CRD#: 250

CHERAW, SC

Past

August 15, 2000 - November 22, 2010

EDWARD JONES

CRD#: 250

CHERAW, SC

Past

October 10, 1996 - September 28, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

November 14, 1990 - October 4, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 21, 1990 - August 6, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

May 21, 1990 - August 6, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

South Carolina
(12/17/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/1990

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 4/2/1987

Direct Participation Programs Representative Examination

Current Firm

M CAPITAL WEALTH MANAGEMENT, LLC

M CAPITAL GROUP LLC | M CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 155303 / SEC#: 801-72036

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

California

Registered Investment Advisory firm - (12/17/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (6/19/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

901 Chesterfield Highway Suite B, Cheraw, SC 29520

Mailing Address

Phone number

(843) 537-4804

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 44,656,119

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.

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Advisor Monitoring

Firm Stability Insights

Susan W. Malloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Walker Malloy's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD JONES

EDWARD JONES

PRINCIPAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2007

Series 65

Date: 5/3/1994

Series 63

Date: 2/13/1991

Series 7

Date: 7/27/2000

Series 6

Date: 5/18/1990

Series 22

Date: 4/2/1987

Current Firm

M CAPITAL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

M CAPITAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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