Ian C. Malone
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.
Ian Carter Malone was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1998. Ian had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 72, Series 57TO, Series 79TO, SIE, Series 55, Series 6, Series 5, Series 15, Series 42, Series 62, Series 52, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2023 - January 10, 2024
KEEL POINT, LLC
September 21, 2023 - January 10, 2024
KEEL POINT CAPITAL, LLC
April 15, 2021 - September 26, 2023
TRUTORO
September 18, 2020 - September 26, 2023
TRUTORO
October 30, 2019 - November 11, 2020
SOWELL MANAGEMENT
April 23, 2015 - December 20, 2018
FIRST SECURITY FUND ADVISERS, INC.
August 25, 2006 - December 26, 2018
CREWS & ASSOCIATES, INC.
September 22, 2004 - December 26, 2018
CREWS & ASSOCIATES, INC.
November 14, 2000 - September 14, 2004
T.J. RANEY & SONS, INC.-RIA
May 16, 2000 - September 14, 2004
T. J. RANEY & SONS, INC. - BD
October 20, 1998 - May 3, 2000
STEPHENS
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 7/26/2009
Limited Representative-Equity Trader ExamSeries 5
Date: 12/1/1998
Interest Rate Options ExaminationSeries 15
Date: 11/30/1998
Foreign Currency Options ExaminationSeries 42
Date: 11/4/1998
Registered Options Representative ExaminationSeries 62
Date: 11/2/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
