Malcolm J. Lunn

VIRTUS INVESTMENT ADVISERS

SPRING, TX

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CRD#: 2992497

Professional summary

Malcolm Joseph Lunn, AIF®, CFP®, CIMA®, who also goes by Malcolm J Lunn, Malcom J Lunn, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Spring, Texas and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Malcolm has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Malcolm J Lunn | Malcom J Lunn

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 Malcolm Joseph Lunn'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 19, 2018 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

SPRING, TX

Current

June 1, 2017 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

Hartford, CT

Past

September 6, 2016 - November 19, 2018

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

SPRING, TX

Past

August 26, 2016 - June 1, 2017

FORESIDE ASSOCIATES, LLC

CRD#: 13494

PORTLAND, ME

Past

November 25, 2014 - August 9, 2016

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

October 17, 2014 - August 8, 2016

OAK RIDGE INVESTMENTS, LLC

RIA

CRD#: 107066

CHICAGO, IL

Past

April 27, 2009 - October 3, 2014

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

November 9, 2004 - May 11, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

November 9, 2004 - May 11, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 20, 2000 - November 18, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PLAINSBORO, NJ

Past

March 10, 1998 - November 18, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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

IAR

Connecticut
(11/19/2018)

Texas
(6/1/2017)

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 66

Date: 3/23/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 6/6/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/9/2008

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Malcolm J. Lunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Joseph Lunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

IMST DISTRIBUTORS, LLC

OAK RIDGE INVESTMENTS, LLC

GOLDMAN SACHS & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/6/1998

Series 24

Date: 6/23/2022

Series 10

Date: 6/6/2008

Series 9

Date: 5/9/2008

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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