Thomas V. 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.
Thomas Vincent Malone, who also goes by Thomas Joseph Malone, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 15 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1990 - October 29, 1990
FIRST MONTAUK SECURITIES CORP.
June 27, 1988 - February 28, 1990
ADVEST, INC.
February 4, 1988 - May 4, 1988
ADAMS, COHEN SECURITIES INC.
June 11, 1987 - September 23, 1987
MURIEL SIEBERT & CO., LLC
March 16, 1987 - March 26, 1987
JONESTRADING
March 10, 1987 - March 11, 1987
STEINBERG & LYMAN
May 13, 1983 - June 25, 1986
JEFFERIES LLC
June 17, 1982 - June 2, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 26, 1982 - February 3, 1982
PERSHING LLC
October 26, 1977 - April 13, 1979
CREDIT SUISSE SECURITIES (USA) LLC
May 31, 1977 - November 10, 1977
UBS ASSET MANAGEMENT (US) INC.
August 6, 1976 - July 17, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 27, 1976 - September 7, 1976
CITIGROUP GLOBAL MARKETS INC.
February 12, 1976 - February 1, 1980
WAGNER, STOTT & CO.
August 25, 1971 - November 29, 1974
M. E. GOLDSTEIN & CO., 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
PC
Date: 9/28/1988
AMEX Put and Call ExamSeries 1
Date: 8/23/1971
Registered Representative ExaminationCurrent Firm
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
