Reginald C. Malabey
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.
Reginald C Malabey, who also goes by Reggie Malabel, Reginald C Malabey Jr, Reginald Clyde Malabey Jr, Reginald Clyde Malabey, was a registered financial professional .
Reginald is a previously registered financial professional and started their career in finance in 1987. Reginald had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
March 9, 2015 - July 29, 2016
SCOTTRADE, INC.
June 11, 2014 - August 18, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - January 28, 2014
MORGAN STANLEY
January 31, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 23, 2003 - May 17, 2004
CITIGROUP GLOBAL MARKETS INC.
January 30, 2002 - October 30, 2002
QUICK & REILLY, INC.
November 1, 2000 - January 23, 2002
MORGAN STANLEY DW INC.
February 26, 1997 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
August 5, 1988 - May 10, 1996
MORGAN STANLEY DW INC.
August 18, 1987 - August 16, 1988
H.J. MEYERS & CO., INC.
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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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