JM
Julie R. Malonzo
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
Henderson, NV 89052
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CRD#: 7240120
JM
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.
(1) CASSADY WEALTH & RETIREMENT PLANNING L.L.C.; INV RELATED; HENDERSON, NV ; RIA; IAR;START 11/2025; 100/ HRS MO; 50 HOURS DURING SECURITIESTRADING HOURS; PROVIDES FINANCIAL PLANNING & INVESTMENT MANAGEMENT SERVICES. (2) GRADIENT SECURITIES LLC; YES; ARDEN HILLS, MN; BROKER DEALER; REGISTEREDREPRESENTATIVE; 10/2024; 50/ HRS MO; 25/ HOURS DURING SECURTIES TRADING HOURS; (3) Julie Malonzo, Sole proprietor; Yes; Henderson, NV; Insurance Agent; 05/2023; 10/ HRS MO; 0/ HRS MO (4) EMBERXFROST; NOT INV RELATED; NORTH LAS VEGAS; FRONT DESK RECEPTIONIST; START 9/2025; 16 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; PROVIDES ADMINISTRATIVE ASSISTANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Julie Rose Malonzo'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®
NoneExperience
Current
November 8, 2024 - Present
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
Office #1: 2400 W Horizon Ridge Pkwy, Henderson, NV 89052RIA
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 89135RIA
BD
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
BD
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
BD
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".
CW
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
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)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.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
Nevada(10/30/2024)
IAR
Nevada(11/8/2024)
IAR
Texas(11/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/27/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
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)Upgrade to AdvisorCheck Premium
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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
5
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 155,768,876 |
Red Flags
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