Vincent A. Mallon
Professional summary
Vincent Anthony Mallon, who also goes by VIncent Anthony Mallon, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in New York, New York and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Vincent has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Anthony Mallon's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2025 - Present
IP FINANCIAL ADVISORY SERVICES LLC
October 4, 2024 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210February 6, 2019 - August 23, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
January 29, 2019 - August 23, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 21, 2016 - December 27, 2018
EQUITY SERVICES, INC.
January 15, 2016 - December 27, 2018
EQUITY SERVICES, INC.
October 1, 2012 - July 6, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 6, 2015
J.P. MORGAN SECURITIES LLC
January 5, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 24, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 27, 2007 - March 31, 2008
PARK AVENUE SECURITIES LLC
November 8, 2005 - April 4, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 8, 2005 - April 4, 2007
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2024)
(1/24/2025)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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