Malcolm Hall
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.
Malcolm Hall JR was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1981. Malcolm had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - December 31, 2014
SOURCE CAPITAL GROUP, INC.
January 4, 2010 - May 24, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
March 31, 2008 - January 13, 2010
WHITAKER SECURITIES LLC
May 23, 2005 - March 31, 2008
SEABOARD SECURITIES, INC.
May 12, 2004 - May 31, 2005
GFI SECURITIES LLC
August 1, 2002 - April 26, 2004
NEWEDGE USA, LLC
October 19, 1995 - August 1, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 1991 - October 16, 1995
CEDAR STREET SECURITIES CORP.
March 23, 1981 - April 30, 1991
MABON, NUGENT & CO.
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 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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