Edward P. Mally

PREMIER WEALTH ADVISORS

New York, NY 10018

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CRD#: 1721433

Professional summary

Edward Paul Mally, CFA, who also goes by Ed Mally, is a registered financial advisor currently at PREMIER WEALTH ADVISORS, LLC located in New York, New York.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Edward has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86, Series 7, Series 16 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ed Mally

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Paul Mally's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

January 14, 2022 - Present

PREMIER WEALTH ADVISORS, LLC

Office #1: 1411 Broadway 16th Floor, New York, NY 10018

RIA

CRD#: 120358

New York, NY

Past

May 13, 2008 - August 27, 2020

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

Stamford, CT

Past

May 7, 2008 - August 27, 2020

IMPERIAL CAPITAL, LLC

CRD#: 43744

Stamford, CT

Past

November 3, 1997 - November 15, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 1, 1995 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

CRD#: 3801

NEW YORK, NY

Past

April 4, 1994 - October 4, 1995

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

August 18, 1987 - March 24, 1994

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

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).

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

Connecticut
(1/14/2022)

IAR

New York
(1/14/2022)

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: 5/12/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/18/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/11/2008

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 5/6/2008

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 9/26/1990

NYSE Supervisory Analyst Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2008

General Securities Principal Examination

Current Firm

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

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Contact information

Main Address

1411 Broadway 16th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 752-4343

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (6/25/2025)

Regulatory assets under management

Total Number of Accounts	754
AUM (Assets Under Management)	$ 523,135,264

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/31/2024	Cover Page	Report

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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Edward P. Mally

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Paul Mally's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

IMPERIAL CAPITAL, LLC

CIBC WORLD MARKETS CORP.

CIBC WOOD GUNDY SECURITIES CORP.

CITICORP SECURITIES, INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

PREMIER WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2008

Series 63

Date: 11/6/1987

SIE

Date: 10/1/2018

Series 87

Date: 6/18/2008

Series 86

Date: 6/11/2008

Series 7

Date: 5/6/2008

Series 16

Date: 9/26/1990

Series 24

Date: 6/2/2008

Current Firm

PREMIER WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PREMIER WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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