Brendan Malone

GREENROCK RESEARCH

Chicago, IL 60606

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CRD#: 5411551

Professional summary

Brendan Malone, who also goes by Brendan John Malone, is a registered financial advisor currently at GREENROCK RESEARCH, INC. located in Chicago, Illinois.

Brendan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Brendan has worked at 4 firms and has passed the Series 66, SIE, Series 50 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brendan John Malone

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Malone'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

January 20, 2023 - Present

GREENROCK RESEARCH, INC.

Office #1: 444 W. Lake St. Suite 1700, Chicago, IL 60606

RIA

CRD#: 131825

Chicago, IL

Past

November 18, 2020 - July 18, 2022

HUNTINGTON SECURITIES, INC.

CRD#: 2261

CHICAGO, IL

Past

December 5, 2014 - August 3, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

CHICAGO, IL

Past

December 5, 2014 - August 3, 2020

BB&T SECURITIES, LLC

CRD#: 142785

CHICAGO, IL

Past

January 24, 2012 - November 20, 2014

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

CHICAGO, IL

Past

May 18, 2010 - November 20, 2014

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

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".

GREENROCK RESEARCH, INC.

2311, INC. | GREENROCK RESEARCH, INC.

CRD#: 131825 / SEC#: 801-69664

RIA

Registered Investment Advisory firm - (10/21/2008 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
(1/20/2023)

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 66

Date: 11/29/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 8/22/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 5/17/2010

General Securities Representative Examination

Current Firm

GREENROCK RESEARCH, INC.

2311, INC. | GREENROCK RESEARCH, INC.

CRD#: 131825 / SEC#: 801-69664

RIA

Registered Investment Advisory firm - (10/21/2008 Approved)

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Contact information

Main Address

444 W. Lake St. Suite 1700, Chicago, IL 60606

Mailing Address

Phone number

(312) 463-1301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREENROCK RESEARCH ADV P2A & P2B - MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,990
AUM (Assets Under Management)	$ 850,158,703

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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Advisor Monitoring

Firm Stability Insights

Brendan Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTINGTON SECURITIES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

Primary Firm SEC Registration

GREENROCK RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2010

SIE

Date: 10/1/2018

Series 50

Date: 8/22/2017

Series 7

Date: 5/17/2010

Current Firm

GREENROCK RESEARCH, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENROCK RESEARCH, INC.

TRUST BUT VERIFY

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