AM
Allison M. Malcolm
SCHWAB WEALTH ADVISORY
Omaha, NE 68154
Some features on this profile are disabled
CRD#: 5533116
AM
Professional summary
Allison Marie Malcolm, CFP®, who also goes by Allison M Malcolm, Allison Marie Malcolm, Allison Malcolm, Allison Marie Smalley, Allison Marie Smalley, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Omaha, Nebraska and CHARLES SCHWAB & CO., INC. located in Omaha, Nebraska.
Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Allison has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allison M Malcolm | Allison Marie Malcolm | Allison Malcolm | Allison Marie Smalley | Allison Marie Smalley
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.
Nebraska Council on Economic Education|Investment Related:No|Education|Board Member|2019-08-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0| Board MemberBoard Member Nebraska Council on Economic EducationNebraska Council on Economic Education Aug 2019 - Present � 4 yrs 10 mosAug 2019 - Present � 4 yrs 10 mos Economic EmpowermentEconomic Empowerment https://business.unl.edu/academic-programs/departments/economics/people/executive-committee/# Mission: The mission of the Nebraska Council on Economic Education is to act as a catalyst and lead a statewide initiative to advance economic and financial literacy. Values: We believe that students should develop economic ways of thinking and problem solving that they can use in their lives as consumers, savers, investors, members of the workforce, responsible citizens and effective participants in the state, national, and global economy. Vision: To ensure that all students from kindergarten through high school have an ongoing education and programs in economics and personal finance. Further, we work to enhance teachers' understanding of the subject matter and their ability to teach economics and personal finance concepts.
CRS (Client Relationship Summary) - RIA
Click below to view Allison Marie Malcolm'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®
Experience
Current
May 31, 2024 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 200 South 108th Ave., Omaha, NE 68154RIA
CRD#: 159035
Omaha, NE
Current
January 2, 2025 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 200 S. 108 Ave, Omaha, NE 68154RIA
BD
CRD#: 5393
Omaha, NE
Current
May 30, 2024 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 200 S. 108 Ave, Omaha, NE 68154RIA
BD
CRD#: 5393
Omaha, NE
Past
November 6, 2023 - February 12, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
OMAHA, NE
Past
October 25, 2023 - February 12, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
OMAHA, NE
Past
June 7, 2021 - January 26, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OMAHA, NE
Past
June 7, 2021 - January 26, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 24, 2013 - April 20, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
June 24, 2013 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OMAHA, NE
Past
June 17, 2013 - April 20, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
March 13, 2009 - December 12, 2011
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
March 13, 2009 - December 12, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OMAHA, NE
Past
June 16, 2008 - December 12, 2011
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/9/2024)
RR
Alaska(8/9/2024)
RR
Arizona(8/9/2024)
RR
Arkansas(8/9/2024)
RR
California(8/9/2024)
RR
Colorado(8/9/2024)
RR
Connecticut(8/9/2024)
RR
Delaware(8/9/2024)
RR
District of Columbia(8/9/2024)
RR
Florida(8/9/2024)
RR
Georgia(8/9/2024)
RR
Hawaii(8/9/2024)
RR
Idaho(8/9/2024)
RR
Illinois(8/9/2024)
RR
Indiana(8/9/2024)
RR
Iowa(8/9/2024)
RR
Kansas(8/9/2024)
RR
Kentucky(8/9/2024)
RR
Louisiana(8/9/2024)
RR
Maine(8/9/2024)
RR
Maryland(8/9/2024)
RR
Massachusetts(8/9/2024)
RR
Michigan(8/9/2024)
RR
Minnesota(8/9/2024)
RR
Mississippi(8/9/2024)
RR
Missouri(8/9/2024)
RR
Montana(8/9/2024)
RR
Nebraska(5/30/2024)
IAR
Nebraska(5/31/2024)
RR
Nevada(8/9/2024)
RR
New Hampshire(8/9/2024)
RR
New Jersey(8/9/2024)
RR
New Mexico(8/9/2024)
RR
New York(8/9/2024)
RR
North Carolina(8/9/2024)
RR
North Dakota(8/9/2024)
RR
Ohio(8/9/2024)
RR
Oklahoma(8/9/2024)
RR
Oregon(8/9/2024)
RR
Pennsylvania(8/9/2024)
RR
Rhode Island(8/9/2024)
RR
South Carolina(8/9/2024)
RR
South Dakota(8/9/2024)
RR
Tennessee(5/13/2025)
RR
Texas(8/9/2024)
IAR
Texas(1/2/2025)
RR
Utah(8/9/2024)
RR
Vermont(8/9/2024)
RR
Virginia(8/9/2024)
RR
Washington(8/9/2024)
RR
West Virginia(8/9/2024)
RR
Wisconsin(8/9/2024)
RR
Wyoming(8/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035Omaha, NE 68154TRUST BUT VERIFY
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