Dagan R. Malone
Professional summary
Dagan Robert Malone is a registered financial professional currently at CANACCORD GENUITY LLC located in San Francisco, California.
Dagan is registered as a RR (Registered Representative) and started their career in finance in 1998. Dagan has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dagan Robert Malone's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2012 - Present
CANACCORD GENUITY LLC
Office #1: 44 Montgomery Street Suite 1600, San Francisco, CA 94104April 18, 2007 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
June 28, 2005 - April 9, 2007
JANNEY MONTGOMERY SCOTT LLC
February 3, 2003 - June 13, 2005
FTN EQUITY CAPITAL MARKETS CORP.
November 14, 2002 - December 18, 2002
HOTOVEC, POMERANZ & CO., LLC
March 1, 2002 - April 19, 2002
ABN AMRO INCORPORATED
April 7, 2000 - March 1, 2002
ABN AMRO SECURITIES LLC
May 1, 1998 - March 27, 2000
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/2/2013)
(10/8/2013)
(2/2/2023)
(10/8/2013)
(10/8/2013)
(8/2/2013)
(10/8/2013)
(2/9/2017)
(10/8/2013)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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