Bartholamew A. Mallon
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.
Bartholamew A. Mallon, who also goes by Bart A. Mallon, was a registered financial professional .
Bartholamew is a previously registered financial professional and started their career in finance in 2008. Bartholamew had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 34 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2014 - May 31, 2023
FLYING CLOUD SECURITIES LLC
February 13, 2008 - March 12, 2009
ASPECT SECURITIES, 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
Exams
Current Firm
FLYING CLOUD SECURITIES LLC
CRD#: 167621 / SEC#: , 8-69270
Contact information
Documents
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.
