Jerry G. 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.
Jerry Glen Maloney was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1994. Jerry had worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - September 2, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 17, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 14, 2003 - September 2, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 14, 2000 - December 31, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - March 21, 2003
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - March 21, 2003
WELLS FARGO INVESTMENTS, LLC
May 24, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
February 22, 1994 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 14, 1994 - March 4, 1994
ARAGON FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
