Robert G. Malone

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CRD#: 318125

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.

Robert George Malone, who also goes by Bob Malone, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 24, F04 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Malone

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 FINANCIAL AND RETIREMENT GROUP INC, 8774 YATES DR., WESTMINISTER, CO 80030, POSITION IS REGISTERED REP, INVESTMENT RELATED. START DATE 1/2004.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTMINSTER, CO

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WESTMINSTER, CO

Past

September 20, 2019 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WESTMINSTER, CO

Past

January 29, 2018 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

West Minster, CO

Past

October 5, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

West Minster, CO

Past

September 30, 2002 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WEST MINSTER, CO

Past

January 8, 1998 - September 30, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

July 7, 1994 - January 8, 1998

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

January 26, 1994 - June 15, 1994

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

January 20, 1993 - January 24, 1994

WALFORD & COMPANY, INC.

CRD#: 30720

Past

December 18, 1991 - March 3, 1993

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

February 7, 1991 - November 21, 1991

NTB FINANCIAL CORPORATION

CRD#: 7425

HIGHLANDS RANCH, CO

Past

November 3, 1982 - February 1, 1991

MALONE & ASSOCIATES, INC.

CRD#: 10412

DENVER, CO

Past

December 16, 1974 - April 5, 1982

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

Past

January 25, 1974 - January 9, 1975

BARTON AND COMPANY INCORPORATED

CRD#: 6187

Past

August 4, 1970 - February 28, 1974

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/27/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/2006

General Securities Principal Examination

Principal/Supervisory Exam

F04

Date: 4/11/1975

Financial Principal Examination

Principal/Supervisory Exam

Series 00

Date: 4/11/1975

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Robert G. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J.P. TURNER & COMPANY, L.L.C.

SCHNEIDER SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

PAULSON INVESTMENT COMPANY LLC

WALFORD & COMPANY, INC.

DICKINSON & CO.

NTB FINANCIAL CORPORATION

MALONE & ASSOCIATES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

BARTON AND COMPANY INCORPORATED

B.C. CHRISTOPHER SECURITIES CO.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2018

Series 63

Date: 7/30/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/27/1968

Series 24

Date: 4/25/2006

F04

Date: 4/11/1975

Series 00

Date: 4/11/1975

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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