John T. Malone
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.
John Thomas Malone, CIMA®, who also goes by John T Malone, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2019 - July 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
April 19, 2018 - February 5, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 22, 2010 - May 9, 2017
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - May 9, 2017
DELAWARE DISTRIBUTORS, L.P.
January 11, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 13, 2004 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 12, 2000 - February 12, 2004
FRED ALGER & COMPANY, LLC
January 10, 1999 - April 17, 2000
AMUNDI DISTRIBUTOR US, INC.
April 22, 1996 - October 14, 1998
GUARDIAN INVESTOR SERVICES LLC
April 12, 1991 - October 12, 1995
AMUNDI DISTRIBUTOR US, INC.
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
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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