Brian S. 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.
Brian Scott Malat was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2004 - June 21, 2005
JESUP & LAMONT SECURITIES CORP
November 16, 1998 - November 20, 2003
CITIGROUP GLOBAL MARKETS INC.
December 13, 1993 - November 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1993 - August 17, 1993
KENSINGTON WELLS INCORPORATED
October 11, 1992 - January 25, 1993
PERSHING LLC
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
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
