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MM

Malini S. Menon

ASHTON STEWART & CO.
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3059573
MM

Professional summary

Malini Shankar Menon is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

Malini is registered as a RR (Registered Representative) and started their career in finance in 1998. Malini has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Malini Shankar Menon'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

February 7, 2024 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131
BD
CRD#: 112386
Miami, FL
Past

April 5, 2022 - October 3, 2022

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

September 20, 2016 - April 30, 2020

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

February 17, 2016 - July 20, 2016

TORINO CAPITAL LLC

BD
CRD#: 157525
NEW YORK, NY
Past

November 7, 2007 - February 14, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

June 13, 2005 - December 16, 2005

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

March 24, 2005 - December 16, 2005

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

November 9, 1998 - January 21, 2004

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

June 16, 1998 - November 9, 1998

KEY CAPITAL MARKETS, INC.

BD
CRD#: 39832
CLEVELAND, OH

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
(3/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/2016
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 7
Date: 6/2/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

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

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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

ASHTON STEWART & CO., INC.

CRD#: 112386Miami, FL 33131

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