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Brooke T. Malley

Some features on this profile are disabled
CRD#: 4418359
BM

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.

Brooke Tara Malley, who also goes by Brooke Tara Wallock, was a registered financial professional .

Brooke is a previously registered financial professional and started their career in finance in 2001. Brooke had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brooke Tara Wallock

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®
None

Experience

Past

January 21, 2014 - January 5, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

February 3, 2011 - December 3, 2012

OSAIC FS, INC.

RIA
CRD#: 3870
HARTFORD, CT
Past

October 31, 2008 - January 31, 2011

OSAIC FS, INC.

RIA
CRD#: 3870
HARTFORD, CT
Past

October 30, 2008 - December 3, 2012

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

September 3, 2002 - November 4, 2008

OSAIC FA, INC.

RIA
CRD#: 3978
HARTFORD, CT
Past

September 3, 2002 - May 30, 2007

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
HARTFORD, CT
Past

September 3, 2002 - November 4, 2008

OSAIC FA, INC.

BD
CRD#: 3978
HARTFORD, CT
Past

April 5, 2002 - June 10, 2002

OSAIC FA, INC.

RIA
CRD#: 3978
WINDSOR, CT
Past

March 21, 2002 - June 10, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

March 21, 2002 - June 10, 2002

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

August 28, 2001 - March 27, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 28, 2001 - March 27, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/14/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/9/2004
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AF
ANICO FINANCIAL SERVICES, INC.
ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Moody Plaza, Suite 1463, Galveston, TX 77550
Mailing Address
One Moody Plaza Suite 1463, Galveston, TX 77550
Phone number
(409) 621-7809
Established
Texas since 12/21/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN NATIONAL INSURANCE COMPANYDIRECT OWNER
LUIKART, THAD MICHAELDIRECTOR, PRESIDENT & CEO5111050
RUSTAD, STEPHANIE THERESEFINOP2327465
WHITE, STACEY LEIGHAVP, CHIEF COMPLIANCE OFFICER2721039

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

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

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