Paul J. Malcolm

MALCOLM CAPITAL MANAGEMENT LLC

Sioux Falls, SD

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CRD#: 5376416

Professional summary

Paul Joshua Malcolm is a registered financial advisor currently at MALCOLM CAPITAL MANAGEMENT LLC located in Sioux Falls, South Dakota.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Paul has worked at 5 firms and has passed the Series 65, Series 66 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.

Paul Malcolm works as an administrative assistant Monday, Wednesday, and Friday from around 8:30am to 4:45pm for Ballard Asphalt Paving & Maintenance Inc. During securities trading hours, Paul Malcolm devotes around 18.5 hours to Ballard Asphalt over the course of a week. Paul Malcolm can start work for Ballard Asphalt as late as 9am leaving him time to enter trades for clients on Monday, Wednesday, and Friday in the mornings. Ballard Asphalt Paving & Maintenance does asphalt paving and maintenance. Ballard Asphalt is not an investment related business. Paul Malcolm does clerical work and assists with bidding for future jobs. Paul Malcolm is an employee of Ballard Asphalt. Ballard Asphalt is located at 27136 470th Avenue Tea, SD 57064. Paul Malcolm started working for Ballard Asphalt on 5/9/24. Paul Malcolm devotes approximately 92 hours per month to Ballard Asphalt.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joshua Malcolm's CRS (Customer Relationship Summary).

MORGAN STANLEY

CRD#: 149777

SANTA BARBARA, CA

Past

October 30, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SANTA BARBARA, CA

Past

October 4, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SANTA BARBARA, CA

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

South Dakota
(9/24/2024)

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Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/24/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/2007

General Securities Representative Examination

Current Firm

MALCOLM CAPITAL MANAGEMENT LLC

CRD#: 322512 / SEC#:

South Dakota

Registered Investment Advisory firm - (5/24/2023 Approved)

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Contact information

Main Address

Sioux Falls, SD

Mailing Address

Phone number

(818) 424-7913

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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Paul J. Malcolm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joshua Malcolm's CRS (Customer Relationship Summary).

Certified licenses

Experience

MALCOLM CAPITAL MANAGEMENT LLC

MARATHON INVESTMENT PROGRAMS

WESTWARD PROSPECT INC. DBA SEVEN YEARS CAPITAL

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2022

Series 66

Date: 10/24/2007

Series 7

Date: 10/3/2007

Current Firm

MALCOLM CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

MALCOLM CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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