Corey J. Malone
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.
Corey Jay Malone, who also goes by Corey Malone, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2011. Corey had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2014 - November 13, 2015
JOSEPH STONE CAPITAL L.L.C.
September 16, 2013 - May 19, 2014
WOODSTOCK FINANCIAL GROUP, INC.
August 20, 2012 - March 5, 2013
NATIONAL SECURITIES CORPORATION
July 13, 2011 - June 22, 2012
WOODSTOCK FINANCIAL GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
