John Mallano
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.
John Mallano was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2010 - December 31, 2017
K.C. WARD FINANCIAL
February 28, 2008 - January 2, 2009
K.C. WARD FINANCIAL
February 24, 2006 - March 26, 2008
J.P. TURNER & COMPANY, L.L.C.
October 16, 2001 - March 11, 2004
LADENBURG THALMANN & CO. INC.
July 31, 2001 - November 19, 2002
LADENBURG CAPITAL MANAGEMENT INC.
July 13, 2000 - July 31, 2001
MILESTONE FINANCIAL SERVICES, INC.
April 14, 1999 - July 31, 2000
QUEST CAPITAL STRATEGIES, INC.
January 22, 1997 - June 4, 1997
LADENBURG CAPITAL MANAGEMENT INC.
October 17, 1996 - January 27, 1997
PRESTON LANGLEY ASSET MANAGEMENT, INC.
June 12, 1995 - December 4, 1996
SEABOARD SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 10/30/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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