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Malcolm N. Briggs

SOUTHEAST INVESTMENTS, N.C.
Charlotte, NC 28217
Some features on this profile are disabled
CRD#: 30503
MB

Professional summary

Malcolm Northrup Briggs, who also goes by Mac Briggs, Malcolm N. Briggs, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

Malcolm is registered as a RR (Registered Representative) and started their career in finance in 1973. Malcolm has worked at 10 firms and has passed the Series 63, SIE, Series 6, Series 22, Series 1 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mac Briggs | Malcolm N. Briggs

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 Malcolm Northrup Briggs'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

December 19, 2012 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217
RIA
BD
CRD#: 43035
Charlotte, NC
Past

May 8, 2012 - December 21, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
CENTER VALLEY, PA
Past

November 15, 2007 - May 10, 2010

CLARK SECURITIES, INC.

BD
CRD#: 43803
GREENSBORO, NC
Past

June 23, 2004 - October 16, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ALLENTOWN, PA
Past

May 22, 2002 - June 9, 2004

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL
Past

July 2, 2001 - December 21, 2001

CLARK SECURITIES, INC.

BD
CRD#: 43803
GREENSBORO, NC
Past

September 27, 1993 - July 2, 2001

CLARK-BARDES SECURITIES, INC.

BD
CRD#: 29094
DALLAS, TX
Past

March 27, 1985 - December 22, 1989

ANDESA INVESTMENTS CORPORATION

BD
CRD#: 15832
Past

March 13, 1981 - December 18, 1984

NATIONAL INVESTMENT CONSULTING CORPORATION

BD
CRD#: 7912
Past

May 16, 1977 - March 13, 1981

ECONOMIC RESEARCH ANALYSTS, INC.

BD
CRD#: 247
Past

January 23, 1973 - June 1, 1977

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

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
Connecticut
(12/19/2012)
RR
New York
(12/19/2012)
RR
Pennsylvania
(12/19/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/1993
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/11/1981
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/15/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 10/4/1984
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035Charlotte, NC 28217

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