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Michael J. Malone

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CRD#: 2510166
MM

Professional summary

Michael Joseph Malone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Michael had worked at 3 firms, which includes ROBERT THOMAS SECURITIES INC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, PARAGON CAPITAL MARKETS INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 1995 - June 10, 1998

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

March 28, 1995 - September 5, 1995

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

July 28, 1994 - March 16, 1995

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/14/1995
Registered Options Principal Examination

Current Firm

RT
ROBERT THOMAS SECURITIES, INC
ROBERT THOMAS SECURITIES, INC

CRD#: 10147 / SEC#: , 8-26680

BD
Terminated by SEC on 04/06/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/30/1981
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

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

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

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