Jasjeet B. Malik
Professional summary
Jasjeet Bala Malik, who also goes by Jasjeet Kaur Bala, Jasjeet Bala, Kitty Bala, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Jasjeet is registered as a RR (Registered Representative) and started their career in finance in 2006. Jasjeet has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jasjeet Bala Malik's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2007 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260November 8, 2018 - December 31, 2024
VANGUARD ADVISERS, INC.
May 29, 2007 - July 19, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 19, 2007
CITIGROUP GLOBAL MARKETS INC.
January 25, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 25, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 1, 2006 - October 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 30, 2006 - October 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/5/2007)
Exams
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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