Rick R. Malizia
Professional summary
Rick Raymond Malizia was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rick is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Rick had worked at 4 firms, which includes CAPITAL GROWTH FINANCIAL LLC, LEGG MASON WOOD WALKER INCORPORATED, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2003 - February 4, 2004
CAPITAL GROWTH FINANCIAL, LLC
October 17, 2000 - March 20, 2002
LEGG MASON WOOD WALKER, INCORPORATED
May 5, 1995 - March 13, 2000
MORGAN STANLEY DW INC.
December 22, 1987 - May 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 7/7/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
Red Flags
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