Marc Malitz

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CRD#: 7126773

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.

Marc Malitz was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 2021. Marc had worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 2, 2022 - June 17, 2022

M1 ADVISORY

RIA

CRD#: 249787

CHICAGO, IL

Past

July 19, 2021 - June 17, 2022

M1 FINANCE LLC

CRD#: 281242

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

M1 ADVISORY

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC | M1 ADVISORY

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

What does exam status mean?

State Security Law Exam

Series 66

Status Unavailable

Passed: 11/23/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 7/19/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/14/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 5/25/2022

General Securities Principal Examination

Current Firm

M1 ADVISORY

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC | M1 ADVISORY

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 Approved)

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Contact information

Main Address

200 North Lasalle Street Suite 810, Chicago, IL 60601

Mailing Address

Phone number

(312) 600-2883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (7/8/2026)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 633,573

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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Marc Malitz

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M1 ADVISORY

M1 FINANCE LLC

Primary Firm SEC Registration

M1 ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Passed: 11/23/2021

Series 7TO

Passed: 7/19/2021

SIE

Passed: 10/14/2020

Series 24

Passed: 5/25/2022

Current Firm

M1 ADVISORY

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

M1 ADVISORY

TRUST BUT VERIFY

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