John Thomas Malone
Professional Summary
John Thomas Malone is a registered financial advisor currently at OBERON SECURITIES, LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 2010. John has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
OBERON SECURITIES, LLC
Contact Information
Main Address
445 Park Avenue, Suite 4b, New York, NY 10022Mailing Address
445 Park Avenue, Suite 4b, New York, NY 10022Phone Number
(212) 386-7080Established
New York since 04/11/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (22 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/21/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jul 2017About the Series 79 examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2010About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Thomas Malone's CRS (Customer Relationship Summary).
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