Andrew T. Mali
Professional summary
Andrew Terrence Mali, who also goes by Andrew Mali VIjaiyan, is a registered financial professional currently at HARRIS WILLIAMS located in San Francisco, California.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2019. Andrew has worked at 3 firms and has passed the Series 63, Series 79TO, Series 87, Series 86 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Terrence Mali's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2023 - Present
HARRIS WILLIAMS
Office #1: One Market Plaza Steuart Tower - 11th Floor, San Francisco, CA 94105March 15, 2021 - December 20, 2022
RAYMOND JAMES & ASSOCIATES, INC.
February 4, 2019 - March 8, 2021
ROTH CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2023)
Exams
Series 79TO
Date: 11/25/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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