Thomas J. Malinchak
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 John Malinchak was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 10 firms and has passed the Series 66, Series 7 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
December 16, 2011 - March 9, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 16, 2011 - March 9, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 1, 2010 - October 13, 2011
TOWER SQUARE SECURITIES, INC.
October 12, 2010 - October 13, 2011
TOWER SQUARE SECURITIES, INC.
March 8, 2010 - October 12, 2010
WALNUT STREET SECURITIES, INC.
February 28, 2007 - August 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
December 14, 2006 - February 28, 2007
PFIC ADVISORS, INC.
August 17, 2005 - February 28, 2007
PFIC SECURITIES CORPORATION
May 7, 2002 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
November 7, 2000 - April 10, 2001
EMEDSECURITIES, INC.
April 26, 2000 - December 1, 2000
SURETRADE INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
