Joseph William Malka, CFP | Financial Professional

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.

Joseph William Malka, CFP® was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

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®

BD

CRD#: 14251

SPRINGFIELD, MA

Past

August 22, 1989 - February 12, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/11/2012

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 9/13/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 12/10/2014

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/21/2011

General Securities Representative Examination

Current Firm

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8985 E. Bell Road, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 604-0600

Established

Firm type

Fiscal year end

# of Employees

25

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS - WRAP PROGRAM (3/26/2025)

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,804
AUM (Assets Under Management)	$ 277,447,180

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph W. Malka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

ACUMENT SECURITIES, INC.

FIRST COLONIAL SECURITIES

FORESTERS FINANCIAL SERVICES, INC.

CHATFIELD DEAN & CO., INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2012

Series 63

Date: 9/13/1989

SIE

Date: 12/10/2014

Series 7

Date: 12/21/2011

Current Firm

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

TRUST BUT VERIFY

Similar Advisors