RM
Robert L. Malmquist
PROVIDER FINANCIAL
INDIANAPOLIS, IN 46280
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CRD#: 2730102
RM
Professional summary
Robert Laine Malmquist, CFP®, who also goes by Rob Malmquist, is a registered financial advisor currently at PROVIDER FINANCIAL, INC. located in Indianapolis, Indiana and LPL FINANCIAL LLC located in Angola, Indiana.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Rob Malmquist
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.
1. 11/01/2001: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance.
2. 5/8/2009: Provider Financial - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Time Spent 1% - Officer and owner of company.
3. 9/9/2013: INDIANAPOLIS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
4. 10/2/2013: Provider Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 09/2013 - 120 Hours Per Month During Securities Trading - Time Spent 75% - I provide investment advisory services through Provider Financial, an independent investment advisor firm. I started this business activity in 09/2013. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Laine Malmquist's 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®
CFP®
Start date: 2001
Experience
Current
September 25, 2013 - Present
PROVIDER FINANCIAL, INC.
Office #1: 3091 East 98th Street Suite 200, Indianapolis, IN 46280RIA
CRD#: 168964
INDIANAPOLIS, IN
Current
June 20, 1997 - Present
LPL FINANCIAL LLC
Office #2: 3091 East 98th St Ste 200, Indianapolis, IN 46280RIA
BD
CRD#: 6413
ANGOLA, IN
Past
December 3, 1998 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
INDIANAPOLIS, IN
Past
August 26, 1996 - June 16, 1997
ISU SECURITIES, INC.
BD
CRD#: 28293
FISHERS, IN
Past
May 9, 1996 - July 29, 1996
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PF
PROVIDER FINANCIAL, INC.
PROVIDER FINANCIAL, INC.
CRD#: 168964 / SEC#: 801-113344
RIA
Registered Investment Advisory firm - (5/31/2018 Approved)Florida
Registered Investment Advisory firm - (10/10/2018 Terminated)Indiana
Registered Investment Advisory firm - (10/10/2018 Terminated)Texas
Registered Investment Advisory firm - (11/29/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(7/25/2005)
RR
Alaska(7/5/2016)
RR
California(7/16/1999)
RR
Colorado(8/26/2025)
RR
Florida(7/20/1999)
IAR
Florida(10/15/2013)
RR
Illinois(6/20/1997)
RR
Indiana(6/20/1997)
IAR
Indiana(9/25/2013)
RR
Michigan(7/16/1999)
RR
Mississippi(4/13/2020)
RR
Oklahoma(2/23/2021)
RR
Texas(3/3/2014)
RR
Washington(2/11/2021)
RR
Wisconsin(2/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PROVIDER FINANCIAL, INC.
PROVIDER FINANCIAL, INC.
CRD#: 168964 / SEC#: 801-113344
RIA
Registered Investment Advisory firm - (5/31/2018 Approved)Florida
Registered Investment Advisory firm - (10/10/2018 Terminated)Indiana
Registered Investment Advisory firm - (10/10/2018 Terminated)Texas
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3091 East 98th Street Suite 200, Indianapolis, IN 46280
Mailing Address
Phone number
(317) 706-0890
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 774 |
| AUM (Assets Under Management) | $ 281,000,000 |
Red Flags
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Company Information
PROVIDER FINANCIAL, INC.
CRD#: 168964Indianapolis, IN 46280TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
