James Malafronte
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.
James Malafronte, who also goes by James E III Malafronte, James Eugene Malafronte III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2022 - August 8, 2022
FIDELITY BROKERAGE SERVICES LLC
March 29, 2017 - May 3, 2021
MODERN CAPITAL ADVISORS, LLC
March 2, 2017 - May 3, 2021
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 10, 2014 - February 9, 2017
LPL FINANCIAL LLC
November 10, 2014 - February 9, 2017
LPL FINANCIAL LLC
August 26, 2009 - November 3, 2014
PARK AVENUE SECURITIES LLC
August 14, 2009 - November 3, 2014
PARK AVENUE SECURITIES LLC
August 18, 2006 - August 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 2006 - August 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 22, 2004 - November 10, 2004
WEBSTER INVESTMENT SERVICES, INC.
August 26, 2004 - November 10, 2004
WEBSTER INVESTMENT SERVICES, INC.
October 1, 2000 - August 13, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 8, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 15, 1997 - August 24, 1998
IFMG SECURITIES, INC.
June 6, 1995 - May 8, 1997
ROBERT THOMAS SECURITIES, INC
November 3, 1992 - June 6, 1995
FORESTERS FINANCIAL SERVICES, 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
