Joseph R. Mallo
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.
Joseph Robert Mallo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31 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
December 13, 2019 - February 21, 2023
FISHER INVESTMENTS
June 3, 2016 - September 10, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 3, 2016 - September 10, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 17, 2015 - May 16, 2016
FDX CAPITAL LLC
January 13, 2015 - September 16, 2015
ALT FUND DISTRIBUTORS LLC
October 21, 2014 - December 31, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
March 3, 2014 - September 19, 2014
BIC DISTRIBUTORS, LLC
August 15, 2013 - February 28, 2014
EQUITABLE ADVISORS, LLC
August 15, 2013 - February 28, 2014
EQUITABLE ADVISORS, LLC
January 6, 2010 - July 5, 2013
CURIAN CLEARING, LLC
January 7, 2008 - August 28, 2013
CURIAN CAPITAL, LLC
January 9, 2007 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 8, 2007 - December 31, 2007
CURIAN CAPITAL, LLC
August 1, 2005 - November 28, 2006
WADDELL & REED
July 15, 2005 - November 28, 2006
WADDELL & REED
February 7, 2005 - July 1, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
August 3, 2004 - February 16, 2005
AMERITAS INVESTMENT COMPANY, LLC
November 30, 2001 - May 7, 2003
COUNTRY CAPITAL MANAGEMENT COMPANY
February 29, 2000 - July 20, 2001
CHARLES SCHWAB & CO., INC.
March 3, 1998 - May 10, 1999
MORGAN STANLEY DW INC.
May 22, 1997 - February 17, 1998
IDS LIFE INSURANCE COMPANY
May 22, 1997 - February 17, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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