Richard J. Malek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard James Malek, who also goes by Rick Malek, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 12 firms and has passed the Series 63, Series 65, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - December 31, 2011
TLG ADVISORS, INC.
January 6, 2006 - December 31, 2013
THE LEADERS GROUP, INC.
February 18, 1998 - December 31, 2005
THE LEADERS GROUP, INC.
November 29, 1996 - April 17, 2006
EMPOWER FINANCIAL SERVICES, INC.
April 14, 1994 - January 4, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
June 24, 1992 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
February 11, 1992 - May 3, 1994
CONSECO EQUITY SALES, INC.
December 5, 1991 - February 5, 1992
AMERICAN GENERAL SECURITIES INCORPORATED
June 7, 1990 - February 20, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
May 15, 1986 - May 10, 1988
CONSECO EQUITY SALES, INC.
January 2, 1986 - March 23, 1990
RIMAL SECURITIES, LTD.
June 19, 1983 - December 19, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
September 17, 1976 - January 23, 1986
INVESTORS SECURITY COMPANY, INC.
September 17, 1973 - December 18, 1974
CORNERSTONE FINANCIAL SERVICES, INC.
December 11, 1970 - April 27, 1972
SERVICE FUND MANAGEMENT COMPANY INC
January 2, 1970 - May 15, 1986
VOYAGER SECURITIES, INC.
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/21/1969
Registered Representative ExaminationCurrent Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
