Richard W. Malone
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.
Richard Wayne Malone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2011 - December 31, 2022
J. ALDEN ASSOCIATES, INC.
September 25, 2006 - December 9, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 30, 2004 - February 17, 2004
NEW ENGLAND SECURITIES
January 30, 2004 - February 19, 2004
METROPOLITAN LIFE INSURANCE COMPANY
January 30, 2004 - February 24, 2004
WALNUT STREET SECURITIES, INC.
July 1, 2001 - February 24, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
April 6, 1995 - July 1, 2001
WALNUT STREET SECURITIES, INC.
February 23, 1994 - March 31, 1995
FIDELITY EQUITY SERVICES CORPORATION
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
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
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