Joseph A. Malec

ERNST & YOUNG INVESTMENT ADVISERS LLP

Tampa, FL 33602

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CRD#: 6377012

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.

[DAC INTEGRATION INC; IT Consulting;sole shareholder, sole employee. This is an SCorp used for my IT consulting activities. These will be limited to 10-20 hrs or less per month and will exclude EY clients to ensure no conflicts of interest. 6761 13th Ave N, St petersburg, FL 33710; 15-20 HOURS/WEEK; non investment activities]

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

CRD#: 5167

TAMPA, FL

Past

December 1, 2014 - August 21, 2015

PURSHE KAPLAN STERLING INVESTMENTS

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2014

General Securities Representative Examination

Current Firm

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)

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.

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Joseph A. Malec

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ERNST & YOUNG INVESTMENT ADVISERS LLP

NYLIFE SECURITIES LLC

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2014

SIE

Date: 11/4/2015

Series 7

Date: 12/1/2014

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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