Robert M. Malone

CETERA INVESTMENT ADVISERS LLC

WESTMINSTER, CO 80031

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CRD#: 2445427

Professional summary

Robert Michael Malone, who also goes by Michael Malone, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westminster, Colorado and CETERA WEALTH SERVICES, LLC located in Westminster, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Malone

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) FINANCIAL & RETIREMENT PLANNING GROUP, 8774 YATES DR., WESTMINSTER, CO 80030. POSITION IS REGISTERED REP, INVESTMENT RELATED. START DATE 1/04. (2) UNIVERA, 1139 S. CHESTER STREET, DENVER, CO. 80247. NON-INVESTMENT RELATED. INDEPENDENT ASSOCIATE, NATURAL FOOD SUPPLEMENTS, ZERO HRS DURING TRADING HOURS AND 5 HOURS DURING NON-TRADING HOURS. TO INTRODUCE UNIVERA'S NATURAL FOOD SUPPLEMENTS TO PROSPECTIVE CUSTOMERS. JAN 2005

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Michael Malone'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8471 Turnpike Dr Ste 115, Westminster, CO 80031Office #2: 2555 S. Tucson Circle, Aurora, CO 80014

RIA

CRD#: 105644

WESTMINSTER, CO

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8774 Yates Dr Suite 130, Westminster, CO 80031

CRD#: 13572

Westminster, CO

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 29, 2018 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

West Minster, CO

Past

September 2, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

West Minster, CO

Past

September 30, 2002 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WEST MINSTER, CO

Past

February 20, 2001 - September 30, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

March 5, 1996 - September 9, 1997

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

June 13, 1994 - February 2, 1996

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

January 21, 1994 - June 15, 1994

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

January 19, 1994 - January 25, 1994

WALFORD & COMPANY, INC.

CRD#: 30720

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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
(9/20/2019)

Colorado
(9/20/2019)

IAR

Colorado
(6/29/2023)

New Mexico
(9/20/2019)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Utah
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Robert M. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Michael Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J.P. TURNER & COMPANY, L.L.C.

SCHNEIDER SECURITIES, INC.

LAIDLAW GLOBAL SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

PAULSON INVESTMENT COMPANY LLC

WALFORD & COMPANY, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2018

Series 63

Date: 4/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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