Roy C. Malis
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.
Roy Charles Malis was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1981. Roy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1999 - January 7, 2021
J. ALDEN ASSOCIATES, INC.
January 4, 1999 - October 15, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 21, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 6, 1993 - February 26, 1996
BOENNING & SCATTERGOOD, INC.
February 26, 1990 - July 12, 1993
JANNEY MONTGOMERY SCOTT LLC
May 25, 1983 - March 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 25, 1981 - March 4, 1983
ENI CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/16/1989
Foreign Currency Options ExaminationCurrent Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
