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MM

Michael C. Malloy

FIRST DOMINION CAPITAL
Richmond, VA 23235
Some features on this profile are disabled
CRD#: 2507267
MM

Professional summary

Michael Christopher Malloy is a registered financial professional currently at FIRST DOMINION CAPITAL CORP. located in Richmond, Virginia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Christopher Malloy'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

April 17, 2024 - Present

FIRST DOMINION CAPITAL CORP.

Office #1: 8730 Stony Point Pkwy, Suite 205, Richmond, VA 23235
BD
CRD#: 16330
Richmond, VA
Past

November 7, 2021 - November 14, 2023

MIT ASSOCIATES, LLC

BD
CRD#: 121171
Phoenix, AZ
Past

November 7, 2016 - February 2, 2021

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

July 21, 2014 - January 11, 2016

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

March 27, 2014 - May 28, 2014

CURIAN CLEARING, LLC

BD
CRD#: 132938
DENVER, CO
Past

September 14, 2009 - March 4, 2014

KBS CAPITAL MARKETS GROUP LLC

BD
CRD#: 132299
NEWPORT BEACH, CA
Past

August 25, 2005 - August 26, 2009

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

May 29, 2001 - August 22, 2005

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

September 4, 1998 - August 22, 2005

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

April 17, 1996 - July 15, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 14, 1994 - January 17, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(4/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/2/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/2/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/22/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FIRST DOMINION CAPITAL CORP.
FIRST DOMINION CAPITAL CORP | VONTOBEL FUND DISTRIBUTORS, INC. | TYNDALL-NEWPORT DISTRIBUTORS, INC. | TYNDALL DISTRIBUTORS, INC. | NEWPORT DISTRIBUTORS, INC. | FIRST DOMINION CAPITAL CORPORATION | FIRST DOMINION CAPITAL CORP.

CRD#: 16330 / SEC#: , 8-33719

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
8730 Stony Point Parkway Building Iii, Suite 205, Richmond, VA 23235
Mailing Address
8730 Stony Point Parkway Suite 205, Richmond, VA 23235
Phone number
(804) 304-1689
Established
Virginia since 11/01/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOHN PASCO III REVOCABLE TRUST DATED MAY 10, 2004OWNER
PRICE, JOHN CLIFFORDOWNER1707529
ANCI, CHRISTOPHER FRANCISPRESIDENT, FINOP, PRINCIPAL2747555
PASCO, JOHN IIITRUSTEE357414
PORTWOOD, WILLIAM BOYCECHIEF COMPLIANCE OFFICER4853700
VERMILLERA, SANDRA ZEMBACHSVICE PRESIDENT, TREASURER, PRINCIPAL6376063

Disclosures

Regulatory Event1

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.

Company Information

FIRST DOMINION CAPITAL CORP.

CRD#: 16330Richmond, VA 23235

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