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JM

Jason W. Malott

FIRST HEARTLAND CAPITAL
Lake St. Louis, MO 63367
Some features on this profile are disabled
CRD#: 4368781
JM

Professional summary

Jason Wayne Malott is a registered financial professional currently at FIRST HEARTLAND CAPITAL, INC. located in Lake St. Louis, Missouri.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Jason Wayne Malott'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

May 1, 2024 - Present

FIRST HEARTLAND CAPITAL, INC.

Office #1: 4101 Lake St. Louis Blvd., Lake St. Louis, MO 63367
BD
CRD#: 32460
Lake St. Louis, MO
Past

August 14, 2020 - December 31, 2023

CUTTER & COMPANY, INC.

BD
CRD#: 22449
BALLWIN, MO
Past

November 29, 2017 - December 15, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
St. Louis, MO
Past

September 15, 2016 - November 29, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
St. Louis, MO
Past

March 1, 2010 - May 12, 2016

OSAIC WEALTH, INC.

BD
CRD#: 23131
CHESTERFIELD, MO
Past

April 3, 2002 - February 19, 2010

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
SWANSEA, IL
Past

May 21, 2001 - June 25, 2001

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/26/2024)
RR
Illinois
(6/14/2024)
RR
Missouri
(6/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/18/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FH
FIRST HEARTLAND CAPITAL, INC.
FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460 / SEC#: , 8-46008

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4101 Lake St. Louis Blvd., Lake St. Louis, MO 63367
Mailing Address
4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367
Phone number
(636) 625-0900
Established
Missouri since 10/01/2005
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOFF, DAVID MICHAELPRESIDENT1058737
CHRISTY, ZEONIA MCHIEF COMPLIANCE OFFICER4067924
HALL, BRANDON WAYNECHIEF INFORMATION OFFICER5113480
HOFF, SCOTT MCHIEF OPERATIONS OFFICER5008279
JEHLE, JEANNE ANNFINOP4885198

Disclosures

Regulatory Event3

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.

Company Information

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460Lake St. Louis, MO 63367

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