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RM

Robert L. Malin

BANCROFT CAPITAL
Fort Washington, PA 19034
Some features on this profile are disabled
CRD#: 2414356
RM

Professional summary

Robert Lassiter Malin is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Lassiter Malin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 27, 2023 - Present

BANCROFT CAPITAL, LLC

Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034
RIA
BD
CRD#: 290665
Fort Washington, PA
Past

April 26, 2019 - April 14, 2023

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

July 19, 2018 - April 26, 2019

C2M SECURITIES, LLC

BD
CRD#: 38924
RICHMOND, VA
Past

August 5, 2016 - June 7, 2018

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
New York, NY
Past

July 12, 2016 - August 2, 2016

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

May 19, 2016 - July 1, 2016

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

January 15, 2014 - November 4, 2015

NPM SECURITIES, LLC

BD
CRD#: 168469
NEW YORK, NY
Past

June 19, 2007 - September 19, 2012

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

December 8, 2003 - May 25, 2007

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

January 25, 2002 - July 9, 2003

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 25, 1998 - October 25, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 26, 1997 - August 29, 1997

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

December 22, 1993 - July 9, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/27/2023)
RR
California
(3/27/2023)
RR
Delaware
(3/27/2023)
RR
Florida
(3/27/2023)
RR
Illinois
(3/27/2023)
RR
Massachusetts
(3/30/2023)
RR
New Jersey
(4/12/2023)
RR
New York
(3/27/2023)
RR
Ohio
(3/27/2023)
RR
Pennsylvania
(3/27/2023)
RR
Texas
(3/27/2023)
RR
Virginia
(3/27/2023)
RR
Wisconsin
(3/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/19/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/30/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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.

Company Information

BANCROFT CAPITAL, LLC

CRD#: 290665Fort Washington, PA 19034

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