Louis J. Iovannone

MALVERN CAPITAL MANAGEMENT

Malvern, PA 19355

Some features on this profile are disabled

CRD#: 2974684

Professional summary

Louis Joseph Iovannone JR, CIMA®, who also goes by Lou Iovannone, Louis J Iovannone Jr, is a registered financial advisor currently at MALVERN CAPITAL MANAGEMENT located in Malvern, Pennsylvania.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Louis has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lou Iovannone | Louis J Iovannone Jr

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 Louis Joseph Iovannone JR'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 23, 2019 - Present

MALVERN CAPITAL MANAGEMENT

Office #1: 5 Great Valley Parkway Suite 226, Malvern, PA 19355

RIA

CRD#: 292396

Malvern, PA

Past

May 8, 2013 - June 14, 2019

SYMONS CAPITAL MANAGEMENT INC

RIA

CRD#: 104817

MARLTON, NJ

Past

January 31, 2012 - April 18, 2013

HAND SECURITIES, INC

CRD#: 45198

HUNTINGDON VALLEY, PA

Past

July 13, 2007 - December 31, 2011

THE INVESTMENT CENTER, INC.

CRD#: 17839

HUNTINGTON VALLEY, PA

Past

March 14, 2000 - August 8, 2008

MANCHESTER ADVISORS

RIA

CRD#: 108015

HUNTINGDON VALLEY, PA

Past

September 14, 1999 - July 16, 2007

WHARTON EQUITY CORPORATION

CRD#: 10170

HUNTINGDON VALLEY, PA

Past

May 3, 1999 - July 21, 1999

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 6, 1999 - August 29, 1999

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

October 29, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 18, 1997 - October 29, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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".

MALVERN CAPITAL MANAGEMENT

MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA

Registered Investment Advisory firm - (8/30/2024 Approved)

New Jersey

Registered Investment Advisory firm - (9/9/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2024 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

Pennsylvania
(8/23/2019)

IAR

Texas
(8/23/2019)

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 65

Date: 12/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/15/2001

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1999

General Securities Principal Examination

Current Firm

MALVERN CAPITAL MANAGEMENT

MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA

Registered Investment Advisory firm - (8/30/2024 Approved)

New Jersey

Registered Investment Advisory firm - (9/9/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5 Great Valley Parkway Suite 226, Malvern, PA 19355

Mailing Address

Phone number

(610) 979-1462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A&2B SEC (2/6/2025)

Regulatory assets under management

Total Number of Accounts	350
AUM (Assets Under Management)	$ 225,376,716

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Louis J. Iovannone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Joseph Iovannone JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYMONS CAPITAL MANAGEMENT INC

HAND SECURITIES, INC

THE INVESTMENT CENTER, INC.

MANCHESTER ADVISORS

WHARTON EQUITY CORPORATION

PARK AVENUE SECURITIES LLC

1717 CAPITAL MANAGEMENT COMPANY

GUARDIAN INVESTOR SERVICES LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

MALVERN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/1999

Series 63

Date: 12/11/1997

Series 7

Date: 2/12/1999

Series 6

Date: 11/17/1997

Series 27

Date: 1/15/2001

Series 24

Date: 3/2/1999

Current Firm

MALVERN CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MALVERN CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors