Robert L. Malmquist

PROVIDER FINANCIAL

INDIANAPOLIS, IN 46280

Some features on this profile are disabled

CRD#: 2730102

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Laine Malmquist'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

September 25, 2013 - Present

PROVIDER FINANCIAL, INC.

Office #1: 3091 East 98th Street Suite 200, Indianapolis, IN 46280

RIA

CRD#: 168964

INDIANAPOLIS, IN

Current

June 20, 1997 - Present

LPL FINANCIAL LLC

Office #2: 3091 East 98th St Ste 200, Indianapolis, IN 46280

RIA

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.

CRD#: 28293

FISHERS, IN

Past

May 9, 1996 - July 29, 1996

WATERSTONE FINANCIAL GROUP, INC.

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(7/25/2005)

Alaska
(7/5/2016)

California
(7/16/1999)

Colorado
(8/26/2025)

Florida
(7/20/1999)

IAR

Florida
(10/15/2013)

Illinois
(6/20/1997)

Indiana
(6/20/1997)

IAR

Indiana
(9/25/2013)

Michigan
(7/16/1999)

Mississippi
(4/13/2020)

Oklahoma
(2/23/2021)

Tennessee
(12/17/2025)

Texas
(3/3/2014)

Washington
(2/11/2021)

Wisconsin
(2/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (2/7/2026)

ADV PART 2A (2/7/2026)

Regulatory assets under management

Total Number of Accounts	735
AUM (Assets Under Management)	$ 303,974,168

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Tammy Williams

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert L. Malmquist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Laine Malmquist's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ISU SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

Primary Firm SEC Registration

PROVIDER FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/8/1996

Series 24

Date: 11/19/2007

FINRA

Current Firm

PROVIDER FINANCIAL, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDER FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors