Matthew J. Maloney

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CRD#: 1935017

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.

Matthew John Maloney was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1989. Matthew had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 27, 2021 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Cranberry Township, PA

Past

July 27, 2021 - December 20, 2023

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

June 22, 2016 - January 8, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Cranberry Township, PA

Past

June 22, 2016 - January 8, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Cranberry Township, PA

Past

June 1, 2009 - December 4, 2015

MORGAN STANLEY

RIA

CRD#: 149777

PITTSBURGH, PA

Past

June 1, 2009 - December 4, 2015

MORGAN STANLEY

CRD#: 149777

PITTSBURGH, PA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PITTSBURG, PA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PITTSBURG, PA

Past

February 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PITTSBURG, PA

Past

March 21, 1989 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PITTSBURG, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/17/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 5/30/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TD AMERITRADE, INC.

TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

Terminated by SEC on 09/17/2024

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Contact information

Main Address

200 South 108th Avenue, Omaha, NE 68154

Mailing Address

Phone number

(800) 669-3900

Established

New York since 09/29/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

5,840

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TD AMERITRADE ONLINE HOLDINGS LLC.	OWNER
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER - BD	1216310
KOSTULIAS, JAMES ROBERT	PRESIDENT	3091009
STARR, JEFFREY HAROLD	MANAGING DIRECTOR, OPERATIONS	4700461
THOMPSON, AARON MARK	CHIEF FINANCIAL OFFICER/FINOP	6483170

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	145

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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Advisor Monitoring

Firm Stability Insights

Matthew J. Maloney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2006

Series 63

Date: 4/5/1989

SIE

Date: 10/1/2018

Series 31

Date: 3/17/2006

Series 7

Date: 3/18/1989

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 5/30/1996

Current Firm

TD AMERITRADE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD AMERITRADE, INC.

TRUST BUT VERIFY

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