Richard C. Malesich

RCM CAPITAL MANAGEMENT, L.L.C.

Hammonton, NJ 08037

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CRD#: 2944797

Professional summary

Richard Christopher Malesich, who also goes by Richard C Malesich, is a registered financial advisor currently at RCM CAPITAL MANAGEMENT, L.L.C. located in Hammonton, New Jersey and PTS BROKERAGE, LLC located in Hammonton, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard C Malesich

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 Richard Christopher Malesich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Christopher Malesich'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

October 9, 2007 - Present

RCM CAPITAL MANAGEMENT, L.L.C.

Office #1: 240 N. White Horse Pike, Hammonton, NJ 08037

RIA

CRD#: 144939

Hammonton, NJ

Current

February 11, 2011 - Present

PTS BROKERAGE, LLC

Office #1: 240 N White Horse Pike, Hammonton, NJ 08037

RIA

CRD#: 119307

Hammonton, NJ

Current

July 16, 2007 - Present

PTS BROKERAGE, LLC

Office #1: 240 N White Horse Pike, Hammonton, NJ 08037

RIA

CRD#: 119307

Hammonton, NJ

Past

November 27, 2002 - December 2, 2002

MCKENNA & SULLIVAN INC

RIA

CRD#: 120366

HAMMONTON, NJ

Past

November 6, 2002 - December 8, 2008

CAPITAL MANAGEMENT CONSULTANTS,INC.

RIA

CRD#: 122761

HAMMONTON, NJ

Past

May 22, 2000 - July 16, 2007

WHARTON EQUITY CORPORATION

CRD#: 10170

HAMMONTON, NJ

Past

September 16, 1997 - June 12, 2000

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

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

New Jersey
(7/16/2007)

IAR

New Jersey
(10/9/2007)

Pennsylvania
(7/16/2007)

Virginia
(1/29/2026)

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

IAR

Series 65

Date: 5/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/15/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PTS BROKERAGE, LLC

PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC

CRD#: 119307 / SEC#: , 8-65173

Delaware

Registered Investment Advisory firm - SEC (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - SEC (11/30/2011 Approved)

Maryland

Registered Investment Advisory firm - SEC (4/29/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/25/2004 Approved)

New York

Registered Investment Advisory firm - SEC (9/26/2011 Approved)

North Carolina

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/25/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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).

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Contact information

Main Address

125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054

Mailing Address

125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706

Phone number

(856) 802-9400

Established

New Jersey since 10/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SCHANK, BRAD WILLIAM	MEMBER, COO	5747196
SCHANK, JEREMY JOHN	MEMBER, CFO, CCO	5702254

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 106,900,000

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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard C. Malesich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Christopher Malesich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Christopher Malesich's CRS (Customer Relationship Summary).

Certified licenses

Experience

PTS BROKERAGE, LLC

PTS BROKERAGE, LLC

MCKENNA & SULLIVAN INC

CAPITAL MANAGEMENT CONSULTANTS,INC.

WHARTON EQUITY CORPORATION

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/1999

Series 63

Date: 9/19/1997

SIE

Date: 10/1/2018

Series 6

Date: 9/15/1997

FINRA

Current Firm

PTS BROKERAGE, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PTS BROKERAGE, LLC

TRUST BUT VERIFY

Contact information

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