Julie R. Malonzo

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

Henderson, NV 89052

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CRD#: 7240120

Professional summary

Julie Rose Malonzo is a registered financial advisor currently at CASSADY WEALTH & RETIREMENT PLANNING L.L.C. located in Henderson, Nevada and GRADIENT SECURITIES, LLC located in Henderson, Nevada.

Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Julie has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Julie Rose Malonzo's CRS (Customer Relationship Summary).

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

November 8, 2024 - Present

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

Office #1: 2400 W Horizon Ridge Pkwy, Henderson, NV 89052

RIA

CRD#: 309710

Henderson, NV

Current

October 30, 2024 - Present

GRADIENT SECURITIES, LLC

Office #1: 2400 W Horizon Ridge Parkway, Henderson, NV 89052Office #2: 10799 W. Twain Avenue, Las Vegas, NV 89135

RIA

CRD#: 127701

Henderson, NV

Past

February 6, 2024 - November 7, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

HENDERSON, NV

Past

February 6, 2024 - November 7, 2024

LPL FINANCIAL LLC

CRD#: 6413

HENDERSON, NV

Past

January 5, 2023 - February 7, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HENDERSON, NV

Past

August 29, 2022 - February 7, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HENDERSON, NV

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".

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

CRD#: 309710 / SEC#: 801-129764

RIA

Registered Investment Advisory firm - (3/25/2024 Approved)

Arizona

Registered Investment Advisory firm - (3/29/2024 Terminated)

Nevada

Registered Investment Advisory firm - (4/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/29/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Nevada
(10/30/2024)

IAR

Nevada
(11/8/2024)

IAR

Texas
(11/8/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/27/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/20/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

CRD#: 309710 / SEC#: 801-129764

RIA

Registered Investment Advisory firm - (3/25/2024 Approved)

Arizona

Registered Investment Advisory firm - (3/29/2024 Terminated)

Nevada

Registered Investment Advisory firm - (4/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/29/2024 Terminated)

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Contact information

Main Address

2400 W Horizon Ridge Pkwy, Henderson, NV 89052

Mailing Address

Phone number

(702) 650-4480

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (3/16/2026)

Regulatory assets under management

Total Number of Accounts	576
AUM (Assets Under Management)	$ 242,737,000

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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Advisor Monitoring

Firm Stability Insights

Julie R. Malonzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Rose Malonzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

GRADIENT SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2022

Series 7TO

Date: 8/27/2022

SIE

Date: 11/20/2021

FINRA

Current Firm

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

TRUST BUT VERIFY

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