Phillip E. Malone
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.
Phillip Enoch Malone was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1979. Phillip had worked at 16 firms and has passed the Series 63, Series 000, Series 1, Series 12, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2005 - September 5, 2006
FLAGSTONE SECURITIES, LLC
July 13, 2004 - April 25, 2005
ROCKHOUSE SECURITIES LLC
May 4, 2004 - July 26, 2004
OAKBRIDGE FINANCIAL SERVICES
November 2, 1999 - July 31, 2002
ROBERT W. BAIRD & CO. INCORPORATED
April 28, 1995 - December 11, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 13, 1995 - May 18, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 21, 1994 - January 25, 1995
WM FUND SERVICES, INC.
August 25, 1992 - January 21, 1994
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
September 4, 1990 - February 7, 1992
WELLS FARGO CLEARING SERVICES, LLC
June 26, 1989 - June 27, 1989
DOUGLAS BREMEN & CO., INC.
June 26, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
June 15, 1988 - November 28, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1987 - June 9, 1988
LM CONSOLIDATED FINANCIAL CORP.
June 1, 1987 - July 14, 1987
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
September 10, 1986 - March 20, 1987
SECURITIES RESOLUTION CORPORATION
January 19, 1982 - September 16, 1986
E. F. HUTTON & COMPANY INC
May 22, 1979 - August 30, 1983
UBS FINANCIAL SERVICES INC.
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 000
Date: 10/28/1972
General Securities Principal ExaminationSeries 1
Date: 10/28/1972
Registered Representative ExaminationSeries 12
Date: 10/6/1977
NYSE Branch Manager ExaminationSeries 40
Date: 2/28/1977
Registered Principal ExaminationCurrent Firm
FLAGSTONE SECURITIES, LLC
CRD#: 104451 / SEC#: , 8-52912
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTONE CAPITAL, LLC | SOLE MEMBER | |
| FRAGER, NORMAN | FINOP/CHIEF COMPLIANCE OFFICER/CROP | 212448 |
| HARRIS, EUGENE WHITNEY | MANAGING DIRECTOR | 2583498 |
| LYONS, CYNTHIA DAWN | CHIEF OPERATING OFFICER/SROP | 1722606 |
| POWERS, CHRISTOPHER LARRY | MANAGING DIRECTOR/PRINCIPAL | 4008477 |
| RILEY, WILLIAM PATRICK JR | MANAGING DIRECTOR/PRINCIPAL | 376847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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