Robert A. Maley

BOUSTEAD SECURITIES

Irvine, CA 92618

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CRD#: 2442794

Professional summary

Robert Andrew Maley is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California and SUTTER SECURITIES INCORPORATED located in Irvine, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. Compliance Risk Concepts; Non-IR; New York, NY, Consulting; 10/2017; up to 10 hrs/mth. 2. Boustead Securities, LLC; IR; Irvine, CA; Sr. Managing Director; 02/2018; 160 hrs/mth. 3. Sutter Securities Inc.; IR; San Francisco, CA; Executive Vice President; 06/2019; 20-40 hrs/mth. 4. Sutter Securities Group, Inc.; Non-IR; Irvine, CA; President; 06/2019; 20 hrs/mth. 5. Sutter Securities Clearing, LLC; IR; Irvine, CA; 02/2020; 40 hrs/month. 6. Sutter Capital Partners, LLC; Irvine, CA; IR; Investment Advisory; 9/2019; 20 hrs/month. 7. ATA Consulting Group; Darien, CT; Non IR; Consultant; 11/2016; 4 hrs/month. 8. Quadra Mining Corp; Vancouver, Canada; Non IR; advisory board member; 11/2016; 10 hrs/month.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Andrew Maley'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

February 5, 2018 - Present

BOUSTEAD SECURITIES, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618

CRD#: 141391

Irvine, CA

Current

April 20, 2019 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618

CRD#: 30770

Irvine, CA

Current

February 12, 2020 - Present

SUTTER SECURITIES CLEARING, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618

CRD#: 134742

Irvine, CA

Past

May 5, 2021 - November 13, 2024

SUTTER CAPITAL PARTNERS, LLC

RIA

CRD#: 312689

Darien, CT

Past

June 17, 2019 - July 21, 2021

SUTTER CAPITAL PARTNERS, LLC

RIA

CRD#: 288442

New York, NY

Past

May 8, 2019 - July 18, 2019

ANALYST HUB SECURITIES, LLC

CRD#: 297665

New York, NY

Past

May 22, 2018 - November 22, 2019

SUTTER SECURITIES CLEARING, LLC

CRD#: 134742

IRVINE, CA

Past

October 11, 2017 - February 28, 2018

HB SECURITIES, LLC

CRD#: 140356

NEWPORT BEACH, CA

Past

October 9, 2017 - February 28, 2018

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

New Yor, NY

Past

October 12, 2015 - May 31, 2016

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA

CRD#: 108604

NEW YORK, NY

Past

October 12, 2015 - May 31, 2016

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 7, 2007 - October 15, 2015

GILFORD FINANCIAL CORP.

RIA

CRD#: 126593

NEW YORK, NY

Past

January 21, 1994 - October 15, 2015

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(2/5/2018)

Connecticut
(2/5/2018)

Florida
(4/6/2018)

Georgia
(4/6/2018)

Idaho
(10/1/2020)

Michigan
(7/1/2019)

New Jersey
(2/5/2018)

New York
(2/5/2018)

North Carolina
(10/1/2020)

Pennsylvania
(3/18/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/31/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/20/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/12/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SUTTER SECURITIES CLEARING, LLC

CRD#: 134742 / SEC#: , 8-66859

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6 Venture Suite 395, Irvine, CA 92618

Mailing Address

6 Venture Suite 395, Irvine, CA 92618

Phone number

(949) 295-1580

Established

Delaware since 01/03/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SUTTER SECURITIES GROUP, INC.	PARENT COMPANY
MCCLORY, DANIEL JOSEPH	ELECTED MANAGER	1390780
BULL, ROBERT LEE IV	CEO, CHIEF COMPLIANCE OFFICER, FINOP & CFO	1521134

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.

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Robert A. Maley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Andrew Maley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUTTER SECURITIES INCORPORATED

SUTTER SECURITIES CLEARING, LLC

SUTTER CAPITAL PARTNERS, LLC

SUTTER CAPITAL PARTNERS, LLC

ANALYST HUB SECURITIES, LLC

SUTTER SECURITIES CLEARING, LLC

HB SECURITIES, LLC

NMS CAPITAL ASSET MANAGEMENT, INC.

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN & CO. INC.

GILFORD FINANCIAL CORP.

GILFORD SECURITIES INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/2016

Series 63

Date: 2/18/1994

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 3/31/2005

Series 7

Date: 1/20/1994

Series 27

Date: 3/12/1996

Series 24

Date: 12/20/1995

FINRA

Current Firm

SUTTER SECURITIES CLEARING, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SUTTER SECURITIES CLEARING, LLC

TRUST BUT VERIFY

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