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FM

Frederick L. Malloy

HARKEN CAPITAL SECURITIES
SCITUATE, MA
Some features on this profile are disabled
CRD#: 2521341
FM

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

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 Frederick Lodge 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

October 22, 2012 - Present

HARKEN CAPITAL SECURITIES, LLC

Office #3: 16 Ann Vinal Road, Scituate, MA 02066
BD
CRD#: 163749
SCITUATE, MA
Past

January 12, 2009 - October 22, 2012

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA

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
Colorado
(1/7/2019)
RR
Illinois
(1/7/2019)
RR
Maryland
(10/31/2012)
RR
Massachusetts
(10/24/2012)
RR
New York
(1/7/2019)
RR
Texas
(8/29/2013)
RR
Virginia
(6/9/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/9/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82
Date: 1/9/2009
Limited Representative-Private Securities Offerings
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HC
HARKEN CAPITAL SECURITIES, LLC
HARKEN CAPITAL SECURITIES, LLC

CRD#: 163749 / SEC#: , 8-69077

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

Main Address
16 Ann Vinal Road, Scituate, MA 02066
Mailing Address
16 Ann Vinal Road, Scituate, MA 02066
Phone number
(617) 342-7333
Established
Massachusetts since 11/16/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 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#
MALLOY, FREDERICK LODGEMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER2521341
NELSON, DONALD DALE JRMANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER5309263
ANDERSON, KATHERINE ALICEFINOP4723171

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

HARKEN CAPITAL SECURITIES, LLC

CRD#: 163749Scituate, MA

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