Victor J. Mallet
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.
Victor James Mallet, who also goes by VIctor J Mallet, Victor Mallet, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 2019. Victor had worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2022 - June 2, 2025
ICE BONDS SECURITIES CORPORATION
June 22, 2022 - September 26, 2022
MANAGED ACCOUNT ADVISORS LLC
April 4, 2019 - June 8, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2019 - June 8, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 52TO
Date: 4/24/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/14/2019
General Securities Representative ExaminationCurrent Firm
ICE BONDS SECURITIES CORPORATION
CRD#: 123635 / SEC#: , 8-65601
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDITTRADE INC. | SHAREHOLDER | |
| BORSTELMANN, PETER L | PRESIDENT/DIRECTOR | 4825965 |
| EILEN, JEFFREY PHILIP | CHIEF COMPLIANCE OFFICER | 6149705 |
| FICARRA, THOMAS JOSEPH | DIRECTOR | 5502295 |
| LANSING, RYAN WILLIAM | DIRECTOR | 5408916 |
| MCKISSICK, JOHN JOSEPH | PRINCIPAL OPERATIONS OFFICER | 4939416 |
| THOMASSON, SEAN JOSEPH | FINANCIAL PRINCIPAL | 5124423 |
Disclosures
| Regulatory Event | 1 |
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.
