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Neil L. Malkin

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CRD#: 5454706
NM

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.

Neil Lawrence Malkin was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 2011. Neil had worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2019 - April 11, 2023

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
McLean, VA
Past

August 22, 2011 - January 23, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
SOLON, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/25/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/30/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/20/2011
General Securities Representative Examination

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

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.

Company Information

CAPITAL ONE SECURITIES, INC.

CRD#: 44158

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