Marla B. Malaspina
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.
Marla B Malaspina, who also goes by Malaspina Babakitis, Marla S Babakitis, Marla S Malaspina, was a registered financial professional .
Marla is a previously registered financial professional and started their career in finance in 1996. Marla had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2015 - July 11, 2019
ARBOR POINT ADVISORS
October 27, 2015 - July 11, 2019
SECURITIES AMERICA ADVISORS, INC.
October 27, 2015 - July 11, 2019
SECURITIES AMERICA, INC.
July 1, 2008 - July 3, 2008
THE SOCIAL EQUITY GROUP, INC.
January 5, 2006 - November 2, 2015
FINANCIAL WEST GROUP
January 5, 2006 - November 2, 2015
FINANCIAL WEST GROUP
March 4, 2005 - November 28, 2005
IFMG SECURITIES, INC.
March 2, 2005 - November 28, 2005
IFMG SECURITIES, INC.
June 4, 2002 - December 9, 2003
CITICORP INVESTMENT SERVICES
March 14, 2002 - December 9, 2003
CITICORP INVESTMENT SERVICES
March 31, 1997 - August 9, 2000
MORGAN STANLEY DW INC.
October 30, 1996 - March 14, 1997
BA INVESTMENT SERVICES, 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
Current Firm
ARBOR POINT ADVISORS
CRD#: 165127 / SEC#: 801-77135
Contact information
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
