Douglas E. Mallach
Professional summary
Douglas Ethan Mallach was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Douglas had worked at 7 firms, which includes SCHNEIDER SECURITIES INC., SMITH BENTON & HUGHES INC., FIRST AMERICA EQUITIES CORP., MALONE & ASSOCIATES INC., H. T. FLETCHER SECURITIES INCORPORATED, POWER SECURITIES CORPORATION, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1991 - March 2, 1993
SCHNEIDER SECURITIES, INC.
May 17, 1991 - June 7, 1991
SMITH, BENTON & HUGHES, INC.
April 24, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
July 31, 1989 - March 14, 1990
MALONE & ASSOCIATES, INC.
March 10, 1989 - June 27, 1989
H. T. FLETCHER SECURITIES INCORPORATED
January 26, 1988 - February 25, 1989
POWER SECURITIES CORPORATION
November 27, 1987 - December 16, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
SCHNEIDER SECURITIES, INC.
CRD#: 16434 / SEC#: , 8-33967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHNEIDER FINANCIAL CORP | CORPORATION | |
| BIXLER, CLARENCE LEROY JR | DIRECTOR | 22327 |
| DURAYBITO, SIEGFRIED PETER | OWNER | 1030619 |
| HINKLE, STEVEN RAY | CHIEF EXECUTIVE OFFICER/DIRECTOR | 838034 |
| KOCH, KEITH ARLAN | DIRECTOR | 1197658 |
| LOWE, TERRI ELAINE | CHIEF FINANCIAL OFFICER/DIRECTOR | 1823203 |
| MCENENY, TIMOTHY SEAN JR | OWNER | 2250543 |
| MURRAY, JAY ALAN | OWNER | 1958868 |
| NORTON, GREGORY BRUCE | DIRECTOR | 2041583 |
| OROURKE, THOMAS JOSEPH | PRESIDENT/DIRECTOR | 353467 |
| ROUSE, RICHARD JOHN | VICE-PRESIDENT/DIRECTOR | 1135898 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 17 |
Red Flags
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