David J. Malat
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.
David Jerome Malat, who also goes by David J Malat, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 27 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
November 18, 2021 - March 28, 2022
RAISIN SECURITIES LLC
November 11, 2021 - June 22, 2022
ALTERNATIVE EXECUTION GROUP
October 29, 2021 - March 7, 2022
STORMHARBOUR SECURITIES LP
May 7, 2021 - May 5, 2022
VCS VENTURE SECURITIES
August 5, 2020 - February 28, 2021
WYNSTON HILL CAPITAL, LLC
July 17, 2020 - April 11, 2022
HIGHWATER FINANCIAL, LLC
November 18, 2019 - May 27, 2020
WOLFE RESEARCH SECURITIES
May 26, 2010 - July 30, 2018
WOLFE RESEARCH SECURITIES
October 16, 1991 - November 19, 1997
WATERMARK SECURITIES, INC.
July 18, 1989 - January 7, 1994
PXP SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RAISIN SECURITIES LLC
CRD#: 308880 / SEC#: , 8-70539
Contact information
Documents
Red Flags
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