Robert B. Malone

PROSPERITY - AN EISNERAMPER COMPANY

Raleigh, NC 27607

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CRD#: 4486589

Professional summary

Robert Brooks Malone III, who also goes by Brooks Malone, R. Brooks Malone III, Robert Brooks Malone III, Robert Brooks Malone, Iii Iii, Robert Brooks Malone, Iii, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Raleigh, North Carolina and DAI SECURITIES, LLC located in Raleigh, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brooks Malone | R. Brooks Malone Iii | Robert Brooks Malone Iii | Robert Brooks Malone, Iii Iii | Robert Brooks Malone, Iii

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) FIXED INSURANCE AND ANNUITY SALES; POSITION: Insurance Agent NATURE: Fixed annuity and insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/2024; 1500Sunday Drive, Suite 300, Raleigh NC 2760 2) EISNERAMPER POSITION: Partner NATURE: Tax and Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 125 SECURITIESTRADING HOURS: 125 START DATE: 02/01/2024 ADDRESS: 1500 Sunday Drive, Suite 300, Raleigh NC 27607, United States DESCRIPTION: Tax and Accounting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brooks Malone III'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

August 7, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 1500 Sunday Drive Suite 300, Raleigh, NC 27607

RIA

CRD#: 133777

Raleigh, NC

Current

August 7, 2024 - Present

DAI SECURITIES, LLC

Office #1: 1500 Sunday Dr Suite 300, Raleigh, NC 27607

CRD#: 36673

RALEIGH, NC

Past

October 25, 2019 - August 19, 2024

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

RALEIGH, NC

Past

October 25, 2019 - August 19, 2024

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

RALEIGH, NC

Past

March 13, 2002 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

RALEIGH, NC

Past

January 17, 2002 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

RALEIGH, NC

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 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.

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

IAR

North Carolina
(8/7/2024)

North Carolina
(9/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/30/2002

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: 1/16/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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

Robert B. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brooks Malone III's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2002

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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