RM
Robert R. Malcolm
MARINER INDEPENDENT
Carnegie, PA 15106
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CRD#: 2330581
RM
Professional summary
Robert Roger Malcolm IV, AIF®, who also goes by Bob Malcolm, is a registered financial advisor currently at MARINER INDEPENDENT located in Carnegie, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Malcolm
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.
1. Fixed insurance sales; as of 11/09/2021; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Strategic Path Retirement; Investment related, Carnegie, PA Offering investment services through Mariner Platform Solutions, Managing Partner/ Advisor, Start date; 10/2025, 160 hours per month during securities trading hours. 3. Co-Owner, Bebco, Inc., an entity created for buying and managing commercial real estate at 242 East Main Street, Carnegie, PA 15106, as of 10/24/2023; 2% of time during business hours; Conducted at branch; Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Roger Malcolm IV's 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®
Experience
Current
October 1, 2025 - Present
MARINER INDEPENDENT
Office #1: 242 E. Main St., Carnegie, PA 15106RIA
CRD#: 305418
Carnegie, PA
Past
November 9, 2021 - October 2, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Carnegie, PA
Past
November 9, 2021 - July 3, 2023
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Carnegie, PA
Past
November 30, 2010 - November 23, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
CANONSBURG, PA
Past
November 30, 2010 - November 23, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
CANONSBURG, PA
Past
December 15, 2008 - November 30, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
PITTSBURGH, PA
Past
December 15, 2008 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
PITTSBURGH, PA
Past
February 15, 2007 - December 23, 2008
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
PITTSBURGH, PA
Past
February 9, 2007 - December 23, 2008
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
PITTSBURGH, PA
Past
December 16, 2004 - January 29, 2007
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
PITTSBURGH, PA
Past
March 31, 1998 - January 29, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PITTSBURGH, PA
Past
April 7, 1993 - December 5, 1997
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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".
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
Registered Investment Advisory firm - (9/12/2019 Approved)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
Pennsylvania(10/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
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Contact information
Main Address
5700 West 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,412 |
| AUM (Assets Under Management) | $ 5,615,227,678 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/05/2024 | ||
| 12/15/2023 |
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.
