Dale W. 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.
Dale William Maloney was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1993. Dale had worked at 8 firms and has passed the SIE 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
October 1, 2014 - May 14, 2015
KOVACK SECURITIES INC.
September 3, 2014 - October 20, 2014
FREEDOM INVESTORS CORP.
October 13, 2004 - October 2, 2014
MERRIMAC CORPORATE SECURITIES, INC.
October 31, 2002 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
December 8, 1998 - November 1, 2002
MOMENTUM INDEPENDENT NETWORK INC.
November 3, 1997 - January 19, 1999
WMA SECURITIES, INC.
March 5, 1993 - November 25, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 5, 1993 - November 25, 1997
OSAIC FA, 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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