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DM

Daniel K. Malott

SHORELINEAMBROSE ADVISORS
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 6991727
DM

Professional summary

Daniel Kevin Malott is a registered financial professional currently at SHORELINEAMBROSE ADVISORS, LLC located in San Diego, California.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2018. Daniel has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Kevin Malott'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

August 14, 2018 - Present

SHORELINEAMBROSE ADVISORS, LLC

Office #1: 6310 Greenwich Drive Suite 120, San Diego, CA 92122
BD
CRD#: 141046
San Diego, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/28/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/14/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SHORELINEAMBROSE ADVISORS, LLC
SHORELINEAMBROSE ADVISORS, LLC | SHP SECURITIES, LLC

CRD#: 141046 / SEC#: , 8-67357

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Mailing Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Phone number
(858) 587-9800
Established
California since 04/08/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMBROSE CAPITAL PARTNERS, LLCOWNER
SHORELINE PARTNERS, LLCOWNER
HARDEN, MICHAEL JAMESVICE PRESIDENT4256503
MALOTT, TIMOTHY GERALDPRESIDENT AND CEO, CCO & AMLCO5246927
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

SHORELINEAMBROSE ADVISORS, LLC

CRD#: 141046San Diego, CA 92122

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