Patrick M. Malloy

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CRD#: 4037548

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.

Patrick Michael Malloy, CFP®, who also goes by Pat Malloy, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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®

CFP^®

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#: 171822 / SEC#: 801-110569

RIA

Registered Investment Advisory firm - (5/19/2017 Approved)

Georgia

Registered Investment Advisory firm - (6/9/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (5/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 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

WAYPOINT WEALTH COUNSEL LLC

CRD#: 171822 / SEC#: 801-110569

RIA

Registered Investment Advisory firm - (5/19/2017 Approved)

Georgia

Registered Investment Advisory firm - (6/9/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (5/22/2017 Terminated)

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Contact information

Main Address

3715 Northside Parkway Nw Building 400, Suite 775, Atlanta, GA 30327

Mailing Address

Phone number

(404) 955-7481

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	878
AUM (Assets Under Management)	$ 663,618,239

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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Advisor Monitoring

Firm Stability Insights

Patrick M. Malloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELA STRATEGIES, INC.

CAPITAL INVESTMENT ADVISORS, LLC

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

WAYPOINT WEALTH COUNSEL 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

WAYPOINT WEALTH COUNSEL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAYPOINT WEALTH COUNSEL LLC

TRUST BUT VERIFY

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