Barbara A. Malone

STOLPER & CO.

San Diego, CA 92106

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CRD#: 2000659

Professional summary

Barbara Ann Malone, who also goes by Barbara Rowe, is a registered financial advisor currently at STOLPER & CO., INC. located in San Diego, California.

Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Barbara has worked at 1 firm and has passed the Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barbara Rowe

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) - RIA

Click below to view Barbara Ann Malone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 13, 2003 - Present

STOLPER & CO., INC.

Office #1: 2305 Historic Decatur Rd Suite 100, San Diego, CA 92106

RIA

CRD#: 6911

San Diego, CA

Past

March 1, 1993 - December 14, 2007

STOLPER & CO., INC.

CRD#: 6911

SAN DIEGO, CA

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".

STOLPER & CO., INC.

SOLANA INVESTMENT SOLUTIONS | STOLPER & COMPANY | STOLPER & CO., INC.

CRD#: 6911 / SEC#: 801-11646, 8-18457

RIA

Registered Investment Advisory firm - SEC (5/27/1976 Approved)

Terminated by SEC on 12/14/2007

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/13/2003)

IAR

Texas
(10/15/2007)

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

IAR

Series 65

Date: 2/7/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/24/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/2003

General Securities Principal Examination

Current Firm

STOLPER & CO., INC.

SOLANA INVESTMENT SOLUTIONS | STOLPER & COMPANY | STOLPER & CO., INC.

CRD#: 6911 / SEC#: 801-11646, 8-18457

RIA

Registered Investment Advisory firm - SEC (5/27/1976 Approved)

Terminated by SEC on 12/14/2007

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Contact information

Main Address

2305 Historic Decatur Rd Suite 100, San Diego, CA 92106

Mailing Address

Phone number

(619) 231-9102

Established

California since 08/04/1975

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A BROCHURE (3/13/2025)

Direct owners and executive officers

Name	Position	CRD#
STOLPER, MICHAEL	PRESIDENT	437190
MALONE, BARBARA ANN	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	2000659

Regulatory assets under management

Total Number of Accounts	184
AUM (Assets Under Management)	$ 585,245,469

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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Barbara A. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Ann Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

STOLPER & CO., INC.

STOLPER & CO., INC.

Primary Firm SEC Registration

STOLPER & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/1996

Series 7

Date: 2/24/1993

Series 24

Date: 11/18/2003

Current Firm

STOLPER & CO., INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STOLPER & CO., INC.

TRUST BUT VERIFY

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