Malcolm J. Prochaska
Professional summary
Malcolm Jennings Prochaska is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Charlotte, North Carolina.
Malcolm is registered as a RR (Registered Representative) and started their career in finance in 1987. Malcolm has worked at 15 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 3, Series 87, Series 55, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Jennings Prochaska's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2020 - Present
NATALLIANCE SECURITIES, LLC
Office #1: 4201 Congress St, Ste 375, Charlotte, NC 28209October 2, 2017 - April 6, 2020
HILLTOP SECURITIES INC.
July 3, 2017 - October 1, 2017
STONEX FINANCIAL INC.
May 28, 2015 - July 3, 2017
STERNE, AGEE & LEACH, INC.
January 2, 2014 - May 29, 2015
AXIOM CAPITAL MANAGEMENT, INC.
July 3, 2012 - January 10, 2014
STONECREST CAPITAL MARKETS, INC.
June 5, 2008 - July 2, 2012
TCA FINANCIAL GROUP, LLC
January 3, 2007 - June 2, 2008
STONECREST CAPITAL MARKETS, INC.
January 23, 2004 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
November 8, 2002 - January 20, 2004
BURLINGTON CAPITAL MARKETS INC.
July 27, 2001 - December 13, 2001
TRUIST SECURITIES, INC.
August 23, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
June 8, 1999 - June 12, 2000
TRUIST SECURITIES, INC.
July 30, 1990 - June 30, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 14, 1989 - December 22, 1989
EDGAR M. NORRIS & CO., INC.
March 25, 1988 - March 15, 1989
MCDANIEL LEWIS & COMPANY
September 24, 1987 - February 10, 1988
E. F. HUTTON & COMPANY 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
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/9/2020)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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