Mark J. Malone
Professional summary
Mark Joseph Malone is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in New Canaan, Connecticut.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Joseph Malone's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2023 - Present
EQUUS FINANCIAL CONSULTING LLC
Office #1: 78 Pine St., Suite 101, New Canaan, CT 06840February 17, 2015 - April 20, 2017
GUGGENHEIM SECURITIES, LLC
December 10, 2013 - February 19, 2015
JANNEY MONTGOMERY SCOTT LLC
March 3, 2008 - December 3, 2013
FM PARTNERS HOLDINGS LLC
April 19, 2006 - February 28, 2008
MORGAN KEEGAN & COMPANY, LLC
June 14, 1999 - March 7, 2006
DEUTSCHE BANK SECURITIES INC.
November 11, 1998 - June 14, 1999
DB ALEX. BROWN 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
(5/8/2023)
(5/8/2023)
(5/8/2023)
(9/16/2025)
Exams
Series 7TO
Date: 5/3/2023
General Securities Representative ExaminationFINRA
Current Firm
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
Red Flags
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