Joseph Malhas
Professional Summary
Joseph Malhas, who also goes by Joseph Malhas, is a registered financial advisor currently at NINEPOINTTWO CAPITAL LLC located in Los Angeles, California and PRIVATE FINANCIAL COUNSELING located in Century City, California. Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Joseph has worked at 4 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph Malhas
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NINEPOINTTWO CAPITAL LLC
Contact Information
Main Address
1901 Avenue Of The Stars Ste 1100, Los Angeles, CA 90067Phone Number
(323) 486-3600# of Employees
2SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
45AUM (Assets Under Management)
$314,765,322Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NINEPOINTTWO CAPITAL LLC
State Registrations and Notice Filings
(10/14/2020)
(5/18/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2017About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Malhas's CRS (Customer Relationship Summary).
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