Malford J. Fagan
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.
Malford John Fagan SR, who also goes by Mal Fagan Sr, Malford John Fagan, was a registered financial professional .
Malford is a previously registered financial professional and started their career in finance in 1973. Malford had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2015 - December 14, 2018
CAPE INVESTMENT ADVISORY, INC.
January 6, 2015 - April 12, 2018
CAPE SECURITIES INC.
January 21, 2014 - January 7, 2015
CETERA INVESTMENT ADVISERS LLC
January 24, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 24, 2013 - January 7, 2015
CETERA INVESTMENT SERVICES LLC
February 24, 2003 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
August 25, 2000 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
April 21, 1995 - September 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 4, 1995
CITIGROUP GLOBAL MARKETS INC.
April 16, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
October 14, 1975 - April 19, 1991
CITIGROUP GLOBAL MARKETS INC.
October 25, 1973 - October 25, 1975
SHIELDS MODEL ROLAND INCORPORATED
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 10/22/1973
Registered Representative ExaminationSeries 8
Date: 6/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
Red Flags
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