Joshua J. Maly

MDRN CAPITAL

LAKEWOOD RANCH, FL

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CRD#: 4310382

Professional summary

Joshua John Maly, who also goes by Joshua J Maly, Joshua John Maly, Joshua Maly, is a registered financial advisor currently at MDRN CAPITAL located in Lakewood Ranch, Florida.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joshua has worked at 13 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua J Maly | Joshua John Maly | Joshua Maly

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. MDRN Insurance, LLC; Insurance Agent; same address; Non-Investment Related; Appx 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Maly'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®

None

Experience

Current

March 11, 2024 - Present

MDRN CAPITAL

RIA

CRD#: 325950

LAKEWOOD RANCH, FL

Past

August 25, 2023 - January 19, 2024

SAVANT WEALTH MANAGEMENT

RIA

CRD#: 107271

ROCKFORD, IL

Past

February 4, 2021 - July 28, 2023

GOLDEN RESERVE RETIREMENT, LLC

RIA

RIA

CRD#: 109238

NORTHVILLE, MI

Past

June 18, 2010 - September 8, 2015

THE MUTUAL FUND STORE

RIA

CRD#: 141810

NORTHVILLE, MI

Past

July 14, 2006 - November 6, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

March 16, 2006 - July 6, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ROCHESTER, MI

Past

March 27, 2003 - March 3, 2006

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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".

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 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.

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

California
(3/24/2025)

IAR

Florida
(6/16/2025)

IAR

Ohio
(3/11/2024)

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: 4/13/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/14/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/26/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/21/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 Terminated)

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Contact information

Main Address

1997 Annapolis Exchange Parkway Suite 300, Annapolis, MD 21401

Mailing Address

Phone number

(410) 533-9966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (3/24/2025)

Regulatory assets under management

Total Number of Accounts	978
AUM (Assets Under Management)	$ 160,866,017

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

Joshua J. Maly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Maly's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAVANT WEALTH MANAGEMENT

GOLDEN RESERVE RETIREMENT, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

EDWARD JONES

EDWARD JONES

EDELMAN FINANCIAL ENGINES

FINANCIAL ENGINES ADVISOR CENTER, LLC

THE MUTUAL FUND STORE

J.P. MORGAN SECURITIES INC.

UBS FINANCIAL SERVICES INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

MDRN CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2018

Series 24

Date: 1/14/2004

Series 10

Date: 8/26/2003

Series 9

Date: 7/21/2003

Current Firm

MDRN CAPITAL

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MDRN CAPITAL

TRUST BUT VERIFY

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