Patrick M. Malloy

CAPITAL INVESTMENT ADVISORS

Atlanta, GA 30328

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CRD#: 4037548

Professional summary

Patrick Michael Malloy, CFP®, who also goes by Pat Malloy, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORS, LLC located in Atlanta, Georgia and WELA STRATEGIES, INC. located in Atlanta, Georgia.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Patrick has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Malloy

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.

1) DBA: PERIMETER PLANNING LLC, INVESTMENT RELATED, ADDRESS IS REGISTERED LOCATIONS, FINANCIAL PLANNING, START 11/01/2013, 40 HOURS PER WEEK - DURING TRADING HOURS, PRESIDENT - CERTIFIED FINANCIAL PLANNER. 2) ADJUNCT PROFESSOR - OGLETHORPE UNIVERSITY - NOT INVESTMENT RELATED, LESS THAN 5% OF TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Michael Malloy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

February 10, 2015 - Present

CAPITAL INVESTMENT ADVISORS, LLC

Office #1: 10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328

RIA

CRD#: 158055

Atlanta, GA

Current

February 10, 2015 - Present

WELA STRATEGIES, INC.

Office #1: 10 Glenlake Parkway North Tower, Suite 1010, Atlanta, GA 30328

RIA

CRD#: 147762

Atlanta, GA

Past

February 22, 2013 - January 12, 2015

CETERA ADVISORS LLC

RIA

CRD#: 10299

ATLANTA, GA

Past

February 21, 2013 - January 12, 2015

CETERA ADVISORS LLC

CRD#: 10299

ATLANTA, GA

Past

October 16, 2012 - January 24, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ATLANTA, GA

Past

September 20, 2012 - January 24, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

May 14, 2012 - June 8, 2012

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

October 8, 2010 - June 8, 2012

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

April 15, 2004 - September 14, 2010

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

September 2, 2003 - May 5, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 27, 2000 - October 15, 2002

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

October 25, 1999 - January 13, 2000

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

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".

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(2/10/2015)

IAR

Texas
(2/5/2016)

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 66

Date: 5/11/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1999

General Securities Representative Examination

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

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Contact information

Main Address

10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328

Mailing Address

Phone number

(404) 531-0018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL INVESTMENT ADVISORS LLC (8/14/2025)

Regulatory assets under management

Total Number of Accounts	13,529
AUM (Assets Under Management)	$ 6,298,397,792

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2025	Cover Page	Report
10/15/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/20/2022	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

Patrick M. Malloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Michael Malloy's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELA STRATEGIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CURIAN CAPITAL, LLC

CURIAN CLEARING, LLC

EQUITABLE DISTRIBUTORS, LLC

EQUITABLE ADVISORS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

PRIME CHARTER LTD.

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2012

Series 63

Date: 11/10/1999

SIE

Date: 1/12/2015

Series 7

Date: 10/22/1999

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORS, LLC

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