Michael R. Malloy
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.
Michael Ryan Malloy, who also goes by Michael R Malloy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 3 firms and has passed the Series 66, 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
June 28, 2019 - August 16, 2019
FORIS CAPITAL US LLC
November 2, 2018 - August 16, 2019
ATLANTIC FINANCIAL
February 26, 2015 - July 13, 2017
CITIGROUP GLOBAL MARKETS INC.
November 21, 2014 - July 13, 2017
CITIGROUP GLOBAL MARKETS 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
FORIS CAPITAL US LLC
CRD#: 282331 / SEC#: , 8-69712
Contact information
FINRA licenses (53 States and Territories)
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.
