BM
Brendan C. Malia
ROBINHOOD FINANCIAL
Chicago, IL 60606
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CRD#: 4675474
BM
Professional summary
Brendan Christopher Malia, who also goes by Brendan C. Malia, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Chicago, Illinois.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2004. Brendan has worked at 3 firms and has passed the Series 66, Series 63, Series 34, Series 7TO, SIE, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brendan C. Malia
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.
CRS (Client Relationship Summary) - BD
Click below to view Brendan Christopher Malia's 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®
NoneExperience
Current
October 13, 2025 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606BD
CRD#: 165998
Chicago, IL
Past
February 1, 2022 - October 2, 2025
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Chicago, IL
Past
September 13, 2021 - October 2, 2025
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Chicago, IL
Past
May 3, 2004 - June 29, 2007
TRANSMARKET GROUP L.L.C.
BD
CRD#: 15657
CHICAGO, IL
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
Alabama(10/13/2025)
RR
Alaska(10/13/2025)
RR
Arizona(10/13/2025)
RR
Arkansas(10/13/2025)
RR
California(10/13/2025)
RR
Colorado(10/13/2025)
RR
Connecticut(10/13/2025)
RR
Delaware(10/13/2025)
RR
District of Columbia(10/13/2025)
RR
Florida(10/13/2025)
RR
Georgia(10/13/2025)
RR
Hawaii(10/13/2025)
RR
Idaho(10/13/2025)
RR
Illinois(10/13/2025)
RR
Indiana(10/13/2025)
RR
Iowa(10/13/2025)
RR
Kansas(10/13/2025)
RR
Kentucky(10/13/2025)
RR
Louisiana(10/13/2025)
RR
Maine(10/13/2025)
RR
Maryland(10/13/2025)
RR
Massachusetts(10/13/2025)
RR
Michigan(10/13/2025)
RR
Minnesota(10/13/2025)
RR
Mississippi(10/13/2025)
RR
Missouri(10/13/2025)
RR
Montana(10/13/2025)
RR
Nebraska(10/13/2025)
RR
Nevada(10/13/2025)
RR
New Hampshire(10/13/2025)
RR
New Jersey(10/13/2025)
RR
New Mexico(10/13/2025)
RR
New York(10/13/2025)
RR
North Carolina(10/13/2025)
RR
North Dakota(10/13/2025)
RR
Ohio(10/13/2025)
RR
Oklahoma(10/13/2025)
RR
Oregon(10/13/2025)
RR
Pennsylvania(10/13/2025)
RR
Puerto Rico(10/13/2025)
RR
Rhode Island(10/13/2025)
RR
South Carolina(10/13/2025)
RR
South Dakota(10/13/2025)
RR
Tennessee(10/13/2025)
RR
Texas(10/13/2025)
RR
Utah(10/13/2025)
RR
Vermont(10/13/2025)
RR
Virgin Islands(10/13/2025)
RR
Virginia(10/13/2025)
RR
Washington(10/13/2025)
RR
West Virginia(10/13/2025)
RR
Wisconsin(10/13/2025)
RR
Wyoming(10/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
