Michael A. Malvin

DECISION INVESTMENTS

San Diego, CA 92121

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CRD#: 2919585

Professional summary

Michael Adam Malvin is a registered financial advisor currently at DECISION INVESTMENTS, INC. located in San Diego, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael Adam Malvin'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®

None

Experience

Current

September 14, 2007 - Present

DECISION INVESTMENTS, INC.

Office #1: 4445 Eastgate Mall Suite 200, San Diego, CA 92121

RIA

CRD#: 145073

San Diego, CA

Past

June 10, 2005 - August 31, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN DIEGO, CA

Past

June 10, 2005 - August 31, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN DIEGO, CA

Past

March 14, 2002 - June 13, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

November 16, 2001 - June 13, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 3, 1997 - April 13, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

DECISION INVESTMENTS, INC.

CRD#: 145073 / SEC#: 801-132048

RIA

Registered Investment Advisory firm - (2/27/2025 Approved)

California

Registered Investment Advisory firm - (3/30/2025 Terminated)

Maryland

Registered Investment Advisory firm - (4/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/28/2025 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2019 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.

Highlighted states indicate IAR registrations

IAR

California
(9/14/2007)

IAR

Texas
(7/31/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/20/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/15/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 2/20/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/15/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/7/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/24/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

DECISION INVESTMENTS, INC.

CRD#: 145073 / SEC#: 801-132048

RIA

Registered Investment Advisory firm - (2/27/2025 Approved)

California

Registered Investment Advisory firm - (3/30/2025 Terminated)

Maryland

Registered Investment Advisory firm - (4/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/28/2025 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2019 Terminated)

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Contact information

Main Address

4445 Eastgate Mall Ste 200, San Diego, CA 92121

Mailing Address

Phone number

(858) 812-3026

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE 2024 (1/28/2025)

Regulatory assets under management

Total Number of Accounts	363
AUM (Assets Under Management)	$ 131,781,361

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.

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Advisor Monitoring

Firm Stability Insights

Michael A. Malvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Adam Malvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

DECISION INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2001

Series 65

Date: 9/15/1997

Series 63

Date: 9/8/1997

Series 31

Date: 2/20/2002

Series 7

Date: 11/15/2001

Series 9

Date: 4/7/2004

Series 10

Date: 3/24/2004

Current Firm

DECISION INVESTMENTS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DECISION INVESTMENTS, INC.

TRUST BUT VERIFY

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