Rama D. 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.
Rama Dominic Malone, who also goes by Rama Dias Malone, was a registered financial professional .
Rama is a previously registered financial professional and started their career in finance in 1995. Rama had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2023 - July 17, 2025
CABRERA CAPITAL MARKETS, LLC
June 11, 2019 - April 3, 2023
ACADEMY SECURITIES, INC.
January 1, 2001 - March 31, 2004
APEX CLEARING CORPORATION
June 23, 1995 - January 29, 1999
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/11/2019
General Securities Representative ExaminationCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
