James M. Malloy
Professional summary
James Michael Malloy IV, who also goes by Michael Malloy, Mike Malloy, is a registered financial advisor currently at LUMIERE FINANCIAL located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Malloy IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2022 - Present
LUMIERE FINANCIAL
Office #1: 675 Third Avenue Suite 920, New York, NY 10017July 10, 2020 - July 18, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
LUMIERE FINANCIAL
CRD#: 319171 / SEC#: 801-123638
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/25/2022)
Exams
Series 7TO
Date: 7/10/2020
General Securities Representative ExaminationCurrent Firm
LUMIERE FINANCIAL
CRD#: 319171 / SEC#: 801-123638
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 246 |
| AUM (Assets Under Management) | $ 59,927,014 |
Red Flags
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