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Malcolm F. Maclean

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CRD#: 2573904
MM

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.

Malcolm Fraser Maclean IV, who also goes by Malcolm Fraser Maclean, was a registered financial professional .

Malcolm is a previously registered financial professional and started their career in finance in 1995. Malcolm had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Malcolm Fraser Maclean

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

February 12, 2014 - December 31, 2014

FIRST LIBERTIES FINANCIAL

BD
CRD#: 14432
DALLAS, TX
Past

June 22, 2011 - November 9, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

June 11, 2009 - December 23, 2009

FIVE X SECURITIES, LLC

BD
CRD#: 8193
OAKTON, VA
Past

November 2, 2006 - June 22, 2007

SEARLE & CO.

BD
CRD#: 13035
GREENWICH, CT
Past

March 4, 2004 - December 12, 2006

MERCURY REAL ESTATE ADVISORS LLC

RIA
CRD#: 126138
GREENWICH, CT
Past

January 2, 2003 - March 2, 2005

MERCURY CAPITAL MARKETS LLC

BD
CRD#: 120674
GREENWICH, CT
Past

May 19, 2000 - December 20, 2002

CONNECTICUT CAPITAL MARKETS, LLC

BD
CRD#: 28353
GREENWICH, CT
Past

August 18, 1995 - March 16, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, 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: 1/31/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/2002
General Securities Principal Examination

Current Firm

FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

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

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 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#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

Disclosures

Regulatory Event2

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 LIBERTIES FINANCIAL

CRD#: 14432

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