Christopher R. Maloney

Some features on this profile are disabled

CRD#: 5114729

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.

Christopher Robert Maloney, who also goes by Christopher Maloney, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Maloney

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

June 18, 2019 - March 11, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

TAMPA, FL

Past

June 1, 2009 - November 29, 2018

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - November 29, 2018

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SARASOTA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SARASOTA, FL

Past

June 20, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BRADENTON, FL

Past

April 27, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BRADENTON, FL

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".

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/16/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/24/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/26/2006

General Securities Representative Examination

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

320 Park Avenue, New York, NY 10022-6839

Mailing Address

Phone number

(212) 224-1600

Established

New York since 01/03/1945

Firm type

Corporation

Fiscal year end

December

# of Employees

753

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LU, KATHRYN ANNE	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	5605579

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 335,621,798

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher R. Maloney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 5/16/2006

SIE

Date: 10/1/2018

Series 31

Date: 5/24/2006

Series 7

Date: 4/26/2006

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

TRUST BUT VERIFY

Similar Advisors