Michael K. Malone

GREENROCK RESEARCH

CHICAGO, IL 60606

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CRD#: 318113

Professional summary

Michael Kevin Malone is a registered financial advisor currently at GREENROCK RESEARCH, INC. located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Michael has worked at 5 firms and has passed the Series 65 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

MICHAEL KEVIN MALONE'S BUSINESS WITH MARKETOCRACY, INC. IS INVESTMENT-RELATED ACTIVITY. - MARKETOCRAY INC. IS LOCATED AT 2688 ALMADEN COURT / LOS ALTOS, CA 94022 AND IT IS A MUTUAL FUND COMPANY. MICHAEL KEVIN MALONE HAS BEEN THE CHAIRMAN OF THE INDUSTRY ADVISORY BOARD (SINCE 2001) AND A MEMBER OF THE FINANCIAL ADVISORY BOARD (SINCE 1999)OF MARKETOCRACY INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Kevin Malone'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

July 16, 2004 - Present

GREENROCK RESEARCH, INC.

Office #1: 223 West Jackson Blvd Suite 850, Chicago, IL 60606

RIA

CRD#: 131825

CHICAGO, IL

Past

January 31, 1980 - May 10, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 29, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

August 27, 1976 - February 10, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

August 17, 1973 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

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".

GREENROCK RESEARCH, INC.

2311, INC. | GREENROCK RESEARCH, INC.

CRD#: 131825 / SEC#: 801-69664

RIA

Registered Investment Advisory firm - (10/21/2008 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(7/16/2004)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 1

Date: 8/13/1973

Registered Representative Examination

Current Firm

GREENROCK RESEARCH, INC.

2311, INC. | GREENROCK RESEARCH, INC.

CRD#: 131825 / SEC#: 801-69664

RIA

Registered Investment Advisory firm - (10/21/2008 Approved)

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Contact information

Main Address

444 W. Lake St. Suite 1700, Chicago, IL 60606

Mailing Address

Phone number

(312) 463-1301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREENROCK RESEARCH ADV P2A & P2B - MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,990
AUM (Assets Under Management)	$ 850,158,703

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.

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Michael K. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Kevin Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENROCK RESEARCH, INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

Primary Firm SEC Registration

GREENROCK RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2004

Series 1

Date: 8/13/1973

Current Firm

GREENROCK RESEARCH, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENROCK RESEARCH, INC.

TRUST BUT VERIFY

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