Joseph M. Mallen

MODELIST

Excelsior, MN

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CRD#: 5290344

Professional summary

Joseph Michael Mallen is a registered financial advisor currently at MODELIST located in Excelsior, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 5 firms and has passed the Series 65 and Series 7 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.

Joseph Michael Mallen is the sole owner of Mallen Capital, LLC, a private investment company, located in Minneapolis, MN. Mallen Capital, LLC's sole investment is in a home goods brand. He does not offer any services to clients of Helios Quantitative Research, LLC. He spends <1% of his time a month on this outside activity. Mr. Mallen is an owner of Twin Bay, LLC, a firm that owns brands in the household products industry.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Mallen'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

November 9, 2023 - Present

MODELIST

RIA

CRD#: 327365

Excelsior, MN

Past

September 8, 2017 - June 19, 2023

CLEAR CREEK FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 170602

Loomis, CA

Past

March 18, 2015 - September 21, 2016

SIMPLICITY SOLUTIONS, LLC

RIA

CRD#: 175009

MINNEAPOLIS, MN

Past

August 27, 2014 - March 20, 2015

SAWTOOTH ASSET MANAGEMENT, INC.

RIA

CRD#: 150506

MINNEAPOLIS, MN

Past

April 27, 2007 - June 22, 2010

MOUNT YALE SECURITIES, LLC

CRD#: 126870

DENVER, CO

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

Minnesota
(11/9/2023)

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 65

Date: 8/27/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/2007

General Securities Representative Examination

Current Firm

MODELIST

MODELIST | MODELIST INC.

CRD#: 327365 / SEC#:

Minnesota

Registered Investment Advisory firm - (11/9/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/23/2025 Approved)

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Contact information

Main Address

Excelsior, MN

Mailing Address

Po Box 689, Excelsior, MN 55331

Phone number

(612) 887-9897

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Joseph M. Mallen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Mallen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODELIST

CLEAR CREEK FINANCIAL MANAGEMENT, LLC

SIMPLICITY SOLUTIONS, LLC

SAWTOOTH ASSET MANAGEMENT, INC.

MOUNT YALE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2014

Series 7

Date: 4/26/2007

Current Firm

MODELIST

Contact information

Documents

Red Flags

Company Information

MODELIST

TRUST BUT VERIFY

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