William V. Malone

VAULT WEALTH

Oklahoma City, OK 73103

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CRD#: 6593547

Professional summary

William Victor Malone, who also goes by VIc Malone, is a registered financial advisor currently at VAULT WEALTH located in Oklahoma City, Oklahoma.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. William has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vic Malone

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.

COMMUNITY HOSPITAL SOUTH, NON INVESTMENT RELATED, 3100 SW 89TH ST, OKLAHOMA CITY, OKLAHOMA 73159, HOSPITAL, STERILE PROCESSING TECH, 11/2019, 40 HRS/WEEK, 40 HRS/WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Victor Malone'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®

None

Experience

Current

November 15, 2019 - Present

VAULT WEALTH

Office #1: 600 Nw 23rd St. Suite 102, Oklahoma City, OK 73103

RIA

CRD#: 288541

Oklahoma City, OK

Past

April 25, 2016 - October 7, 2019

EDWARD JONES

RIA

CRD#: 250

MOORE, OK

Past

February 10, 2016 - October 7, 2019

EDWARD JONES

CRD#: 250

MOORE, OK

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

Oklahoma
(11/15/2019)

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: 3/1/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/2016

General Securities Representative Examination

Current Firm

VAULT WEALTH

VAULT FINANCIAL SOLUTIONS, LLC | VAULT WEALTH STRATEGIES, LLC | VAULT WEALTH

CRD#: 288541 / SEC#: 801-110614

RIA

Registered Investment Advisory firm - (10/4/2017 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/3/2017 Approved)

Texas

Registered Investment Advisory firm - (9/1/2017 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

600 Nw 23rd St. Suite 102, Oklahoma City, OK 73103

Mailing Address

Phone number

(405) 928-4422

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 54,083,440

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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William V. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Victor Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAULT WEALTH

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2016

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2016

Current Firm

VAULT WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VAULT WEALTH

TRUST BUT VERIFY

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