Malcolm E. Mcguire
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.
Malcolm Edward Mcguire JR was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1973. Malcolm had worked at 5 firms and has passed the Series 63, Series 000, Series 1 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
April 10, 1986 - June 3, 1987
WILLIAMS & MCGUIRE, INC.
May 16, 1985 - January 13, 1986
E. F. HUTTON & COMPANY INC
March 22, 1983 - June 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1982 - April 7, 1983
KIDDER, PEABODY & CO. INCORPORATED
June 23, 1978 - October 22, 1982
E. F. HUTTON & COMPANY INC
February 1, 1973 - July 22, 1978
BOETTCHER & COMPANY, 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: 1/26/1973
General Securities Principal ExaminationSeries 1
Date: 1/26/1973
Registered Representative ExaminationCurrent Firm
WILLIAMS & MCGUIRE, INC.
CRD#: 14415 / SEC#: , 8-30652
Contact information
Documents
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.
