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JM

Joseph A. Malec

ERNST & YOUNG INVESTMENT ADVISERS LLP
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 6377012
JM

Professional summary

Joseph Adrian Malec, CFP®, who also goes by Joseph A Malec, Joseph Malec, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in Tampa, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Joseph has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph A Malec | Joseph Malec

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Adrian Malec's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Experience

Current

April 15, 2016 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 201 North Franklin Street Suite 2400, Tampa, FL 33602
RIA
CRD#: 110921
Tampa, FL
Past

October 6, 2015 - November 4, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
TAMPA, FL
Past

December 1, 2014 - August 21, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
St. Petersburg, FL

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".
E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Florida
(4/15/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/4/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2014
General Securities Representative Examination

Current Firm

E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)
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Contact information

Main Address
200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094
Mailing Address
Phone number
(800) 273-0588
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

CRD#: 110921Tampa, FL 33602

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