Barry D. Malvin
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.
Barry David Malvin was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1978. Barry had worked at 4 firms and has passed the Series 63, Series 7, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 1986 - February 4, 1988
H. L. MICHAELS SECURITIES, INC.
September 25, 1984 - March 23, 1990
MALVIN SECURITIES, INC.
October 26, 1983 - November 27, 1984
REALTY SECURITIES, INC.
November 27, 1978 - November 8, 1982
LEHMAN BROTHERS 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
Series 1
Date: 5/13/1968
Registered Representative ExaminationCurrent Firm
H. L. MICHAELS SECURITIES, INC.
CRD#: 17905 / SEC#: , 8-35920
Contact information
Documents
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.
