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BM

Brian J. Malizia

LAKESHORE CAPITAL GROUP
Rolling Meadows, IL 60008
Some features on this profile are disabled
CRD#: 5167321
BM

Professional summary

Brian Joseph Malizia, who also goes by Brian J Malizia, Brian J. Malizia, Brian Malizia, is a registered financial advisor currently at LAKESHORE CAPITAL GROUP, INC. located in Rolling Meadows, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Brian has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brian J Malizia | Brian J. Malizia | Brian Malizia

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.) LAKESHORE CAPITAL GROUP - INVESTMENT RELATED - 1811 Hicks Road, Rolling Meadows, IL 60008 - DBA FOR SECURITIES AND ADVISORY BUSINESS - 1/1/18 - 160 HRS PER MONTH DURING TRADING HRS - PRESIDENT/OWNER 2.) LAKESHORE TAX CONSULTING - NON-INVESTMENT RELATED - 1811 HICKS RD #A, ROLLING MEADOWS, IL 60008 - TAX PREPARATION - PRESIDENT OWNER - 1/8/18 - 5 HRS PER MONT - 2 DURING TRADING HRS - PERSONAL TAX RETURN PREP 3.) Independent Insurance Agent; Investment Related; Rolling Meadows, IL; Start Date 10/2021; Approximately 16 hours/month with some hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Malizia'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

June 30, 2023 - Present

LAKESHORE CAPITAL GROUP, INC.

Office #1: 1811 Hicks Road, Rolling Meadows, IL 60008
RIA
CRD#: 325609
Rolling Meadows, IL
Past

April 16, 2019 - July 10, 2023

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Rolling Meadows, IL
Past

April 16, 2019 - July 10, 2023

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
ROLLING MEADOWS, IL
Past

April 18, 2017 - April 23, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
Rolling Meadows, IL
Past

April 18, 2017 - April 18, 2019

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
Rolling Meadows, IL
Past

September 2, 2016 - March 24, 2017

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

June 18, 2015 - September 6, 2016

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

November 22, 2011 - May 18, 2015

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

April 16, 2007 - October 26, 2011

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA

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".
LC
LAKESHORE CAPITAL GROUP, INC.
LAKESHORE CAPITAL GROUP, INC.

CRD#: 325609 / SEC#: 801-127919

RIA
Registered Investment Advisory firm - (5/3/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Illinois
(6/30/2023)
IAR
Texas
(3/14/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/31/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/29/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/13/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LC
LAKESHORE CAPITAL GROUP, INC.
LAKESHORE CAPITAL GROUP, INC.

CRD#: 325609 / SEC#: 801-127919

RIA
Registered Investment Advisory firm - (5/3/2023 Approved)
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Contact information

Main Address
1811 Hicks Road, Rolling Meadows, IL 60008
Mailing Address
Phone number
(847) 701-0400
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LAKESHORE CAPITAL GROUP, INC. FORM ADV PART 2 BROCHURE (5/22/2025)

Regulatory assets under management

Total Number of Accounts600
AUM (Assets Under Management)$ 153,199,620

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.

Company Information

LAKESHORE CAPITAL GROUP, INC.

CRD#: 325609Rolling Meadows, IL 60008

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