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RM

Ricky F. Mallory

DWS DISTRIBUTORS
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 2965083
RM

Professional summary

Ricky Franklin Mallory JR, who also goes by Rick Franklin Mallory Jr, Rick Franklin Mallory, Ricky Franklin Mallory, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida.

Ricky is registered as a RR (Registered Representative) and started their career in finance in 1998. Ricky has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Franklin Mallory Jr | Rick Franklin Mallory | Ricky Franklin Mallory

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) - BD

Click below to view Ricky Franklin Mallory JR's 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

January 7, 2015 - Present

DWS DISTRIBUTORS, INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256
BD
CRD#: 37306
Jacksonville, FL
Past

January 3, 2012 - January 7, 2015

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
JACKSONVILLE, FL
Past

March 31, 2011 - January 3, 2012

DB SECURITIES SERVICES NJ INC.

BD
CRD#: 142775
JERSEY CITY, NJ
Past

March 10, 2009 - February 4, 2010

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SCOTT DEPOT, WV
Past

January 13, 2009 - March 9, 2009

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SCOTT DEPOT, WV
Past

November 30, 2004 - January 9, 2009

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SCOTT DEPOT, WV
Past

February 20, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
HURRICANE, WV
Past

February 20, 2004 - February 4, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SCOTT DEPOT, WV
Past

August 2, 2001 - December 31, 2001

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

January 26, 1998 - August 8, 2001

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 26, 1998 - August 8, 2001

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

RR
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

RR
Florida
(1/7/2015)
RR
New York
(1/7/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/22/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/16/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

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

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

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

DWS DISTRIBUTORS, INC.

CRD#: 37306Jacksonville, FL 32256

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