Stacey A. Maloney
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.
Stacey Ann Maloney, who also goes by Stacey Ann Fust, Stacey Maloney, Stacey Ann Vanwingerden, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 1997. Stacey had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE 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
January 8, 2019 - January 20, 2020
RONALD GELOK & ASSOCIATES, LLC
September 11, 2015 - November 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2015 - November 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2014 - May 15, 2015
MORGAN STANLEY
July 7, 2014 - May 15, 2015
MORGAN STANLEY
July 3, 2008 - March 16, 2009
STANFORD GROUP COMPANY
February 12, 2008 - March 16, 2009
STANFORD GROUP COMPANY
July 15, 2002 - April 30, 2003
UBS FINANCIAL SERVICES INC.
July 11, 2002 - April 30, 2003
UBS FINANCIAL SERVICES INC.
April 3, 2002 - April 30, 2002
CITIGROUP GLOBAL MARKETS INC.
May 22, 2001 - April 30, 2002
CITIGROUP GLOBAL MARKETS INC.
October 2, 2000 - March 29, 2001
MERIT CAPITAL ASSOCIATES, INC.
July 28, 1998 - October 13, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 1997 - June 19, 1998
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RONALD GELOK & ASSOCIATES, LLC
CRD#: 290950 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 291 |
| AUM (Assets Under Management) | $ 66,194,104 |
Red Flags
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