David J. Maloney
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.
David Jon Maloney, who also goes by David J Maloney, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1962. David had worked at 10 firms and has passed the Series 63, Series 5, PC, Series 4 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
November 24, 2006 - October 25, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
June 17, 2005 - November 29, 2006
THE CONCORD EQUITY GROUP, LLC
April 9, 2002 - July 6, 2005
KIRLIN SECURITIES INC.
March 9, 2002 - April 10, 2002
RBC CAPITAL MARKETS, LLC
January 23, 1989 - March 9, 2002
TUCKER ANTHONY INCORPORATED
April 11, 1979 - January 30, 1989
FINANCIAL SQUARE PARTNERS
March 16, 1976 - June 10, 1978
E. F. HUTTON & COMPANY INC
April 30, 1975 - March 28, 1976
SECURITY INVESTMENT SERVICES CORP.
August 8, 1974 - June 22, 1975
EDWARDS & HANLY
June 5, 1962 - July 19, 1974
FAHNESTOCK INTERNATIONAL INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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 5
Date: 2/20/1986
Interest Rate Options ExaminationPC
Date: 11/2/1979
AMEX Put and Call ExamCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
