Eric D. Maloy

GLADSTONE MANAGEMENT

Dallas, TX 75201

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CRD#: 5282420

Professional summary

Eric Drake Maloy is a registered financial advisor currently at GLADSTONE MANAGEMENT CORPORATION located in Dallas, Texas and GLADSTONE SECURITIES, LLC located in Dallas, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I am an employee of one of our affiliates, Gladstone Management Corporation ("GMC"), a registered investment adviser under the Investment Advisers Act of 1940. GMC serves as an investment adviser to four publicly traded funds, Gladstone Capital Corporation (NASDAQ: GLAD), Gladstone Investment Corporation (NASDAQ: GAIN), Gladstone Commercial Corporation (NASDAQ: GOOD), and Gladstone Land Corporation (NASDAQ: LAND). Its headquarters are located at 1521 Westbranch Drive Suite 100, McLean, VA 22102. Since February 2018, I have served as a managing director for GMC, supporting its day to day operations as investment adviser for the above named operations. I devote 30+ hours a week to the aforementioned activities and 25+ hours a week during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Drake Maloy'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®

None

Experience

Current

October 24, 2018 - Present

GLADSTONE MANAGEMENT CORPORATION

Office #1: 100 Crescent Court Suite 600, Dallas, TX 75201

RIA

CRD#: 122482

Dallas, TX

Current

April 11, 2018 - Present

GLADSTONE SECURITIES, LLC

Office #1: 8300 Douglas Ave. Suite 800-846, Dallas, TX 75225

CRD#: 127808

Dallas, TX

Past

April 1, 2017 - July 25, 2017

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

January 20, 2016 - April 1, 2017

MUFG AMERICAS CORPORATE ADVISORY, INC.

CRD#: 10151

DALLAS, TX

Past

July 16, 2012 - March 15, 2016

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

Dallas, TX

Past

February 21, 2007 - July 28, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

DALLAS, TX

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".

GLADSTONE MANAGEMENT CORPORATION

GLADSTONE MANAGEMENT CORPORATION | THE GLADSTONE COMPANIES

CRD#: 122482 / SEC#: 801-61440

RIA

Registered Investment Advisory firm - (9/13/2002 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.

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

Delaware
(5/3/2018)

Maryland
(4/11/2018)

Texas
(4/25/2018)

IAR

Texas
(10/24/2018)

Virginia
(4/11/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/16/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLADSTONE MANAGEMENT CORPORATION

GLADSTONE MANAGEMENT CORPORATION | THE GLADSTONE COMPANIES

CRD#: 122482 / SEC#: 801-61440

RIA

Registered Investment Advisory firm - (9/13/2002 Approved)

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Contact information

Main Address

1521 Westbranch Drive Suite 100, Mclean, VA 22102

Mailing Address

Phone number

(703) 287-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GLADSTONE MANAGEMENT CORPORATION FORM ADV BROCHURE SUPPLEMENT (9/23/2025)

GLADSTONE MANAGEMENT CORPORATION FORM ADV BROCHURE (9/23/2025)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 4,423,684,349

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.

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Eric D. Maloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Drake Maloy's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLADSTONE SECURITIES, LLC

MUFG SECURITIES AMERICAS INC.

MUFG AMERICAS CORPORATE ADVISORY, INC.

MUFG SECURITIES AMERICAS INC.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

GLADSTONE MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 2/20/2007

Series 24

Date: 12/18/2014

FINRA

Current Firm

GLADSTONE MANAGEMENT CORPORATION

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLADSTONE MANAGEMENT CORPORATION

TRUST BUT VERIFY

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