Frederick L. Malloy
Professional summary
Frederick Lodge Malloy is a registered financial professional currently at HARKEN CAPITAL SECURITIES, LLC located in Scituate, Massachusetts.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 2009. Frederick has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 82 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Lodge Malloy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2012 - Present
HARKEN CAPITAL SECURITIES, LLC
Office #3: 16 Ann Vinal Road, Scituate, MA 02066January 12, 2009 - October 22, 2012
COMPASS SECURITIES 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
(1/7/2019)
(1/7/2019)
(10/31/2012)
(10/24/2012)
(1/7/2019)
(8/29/2013)
(6/9/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HARKEN CAPITAL SECURITIES, LLC
CRD#: 163749 / SEC#: , 8-69077
Contact information
FINRA licenses (12 States and Territories)
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