Charlotte T. Malloch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charlotte Thornton Malloch was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 2018. Charlotte had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2018 - June 26, 2019
WEALTHFRONT ADVISERS LLC
March 29, 2018 - June 26, 2019
WEALTHFRONT BROKERAGE LLC
Primary Firm SEC Registration
WEALTHFRONT ADVISERS LLC
CRD#: 148456 / SEC#: 801-69766
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTHFRONT ADVISERS LLC
CRD#: 148456 / SEC#: 801-69766
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 642,888 |
| AUM (Assets Under Management) | $ 42,948,787,664 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 01/11/2024 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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