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Thomas G. Malone

Some features on this profile are disabled
CRD#: 2830988
TM

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.

Thomas Gerard Malone was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 18, 2014 - February 6, 2017

CEA ATLANTIC ADVISORS, LLC

BD
CRD#: 127146
TAMPA, FL
Past

October 10, 2011 - June 25, 2014

WALLER CAPITAL SECURITIES LLC

BD
CRD#: 127734
NEW YORK, NY
Past

January 2, 2009 - January 6, 2011

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 7, 2001 - December 31, 2008

RBC DANIELS, L.P.

BD
CRD#: 14073
NEW YORK, NY
Past

January 3, 1997 - March 1, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/1997
General Securities Representative Examination

Current Firm

CA
CEA ATLANTIC ADVISORS, LLC
CEA ATLANTIC ADVISORS, LLC | CEA MEDIA GROUP, LLC

CRD#: 127146 / SEC#: , 8-65962

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

Main Address
101 East Kennedy Boulevard; Suite 3300, Tampa, FL 33602
Mailing Address
101 East Kennedy Boulevard; Suite 3300, Tampa, FL 33602
Phone number
(813) 226-8844
Established
Delaware since 09/03/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CEA GROUP, LLCMANAGING MEMBER
GORDON, BRAD ALEXANDERFINOP1194544
JUNG, MING GWONGDESIGNATED PRINCIPAL/CHIEF COMPLIANCE OFFICER2886486
MICHAELS, JOHN PATRICK JRCHAIRMAN/PRESIDENT1194614

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

CEA ATLANTIC ADVISORS, LLC

CRD#: 127146

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