Casey Malloy
MIDWEST HERITAGE FINANCIAL ADVISORS
West Des Moines, IA 50265
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CRD#: 6326461
Professional summary
Casey Malloy, CFP®, who also goes by Casey P Malloy, is a registered financial advisor currently at MIDWEST HERITAGE FINANCIAL ADVISORS located in West Des Moines, Iowa and OSAIC WEALTH, INC. located in West Des Moines, Iowa.
Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Casey has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Casey P Malloy
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.
1. HY-VEE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance sales and service INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/14/2022 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance sales and service 2. MIDWEST HERITAGE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/14/2022 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance sales and service 3. MIDWEST HERITAGE FINANCIAL ADVISORS POSITION: Financial Planner NATURE: MIDWEST HERITAGE FINANCIAL ADVISORS - INVESTMENT ADVISOR REPRESENTATIVE - INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - LOCATED AT 3580 EP TRUE PKWY; WEST DES MOINES, IA 50265 INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 11/14/2022 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Fee-based planning 4. JUICES FLOWING LLC POSITION: Responsible Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/13/2025 ADDRESS: 550 NE Brookshire Dr, Waukee IA 50263, United States DESCRIPTION: My wife and I are helping our 3 kids start a recurring lemonade stand to teach them business skills.
CRS (Client Relationship Summary) - RIA
Click below to view Casey Malloy'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®
CFP®
Start date: 2023
Experience
Current
November 16, 2022 - Present
MIDWEST HERITAGE FINANCIAL ADVISORS
Office #1: 3580 Ep True Parkway, West Des Moines, IA 50265RIA
CRD#: 306308
West Des Moines, IA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3580 Ep True Pkwy, West Des Moines, IA 50265RIA
BD
CRD#: 23131
WEST DES MOINES, IA
Past
January 10, 2023 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WEST DES MOINES, IA
Past
December 9, 2015 - November 17, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
URBANDALE, IA
Past
June 5, 2014 - November 17, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
URBANDALE, IA
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".
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)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
IAR
Iowa(11/16/2022)
RR
Iowa(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/19/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3580 Ep True Parkway, West Des Moines, IA 50265
Mailing Address
Phone number
(515) 246-8378
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 571 |
| AUM (Assets Under Management) | $ 314,203,732 |
Red Flags
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Company Information
MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308West Des Moines, IA 50265TRUST BUT VERIFY
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