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RM

Romitha S. Mally

HOLLISTER ASSOCIATES
MOUNT PLEASANT, SC
Some features on this profile are disabled
CRD#: 2649488
RM

Professional summary

Romitha Shetty Mally, who also goes by Romitha Mally, Romita Shetty Mally, Romitha Shetty, is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina.

Romitha is registered as a RR (Registered Representative) and started their career in finance in 1995. Romitha has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Romitha Mally | Romita Shetty Mally | Romitha Shetty

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 Romitha Shetty Mally'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

April 5, 2021 - Present

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

March 15, 2019 - April 30, 2021

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 3, 2018 - February 14, 2019

GREENHILL & CO., LLC

BD
CRD#: 40290
NEW YORK, NY
Past

November 13, 2013 - March 23, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 29, 2009 - November 19, 2013

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 22, 2005 - March 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 7, 1995 - October 25, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
New York
(4/5/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

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

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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

HOLLISTER ASSOCIATES, LLC

CRD#: 173366Mount Pleasant, SC

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