Richard A. Malone
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.
Richard Allan Malone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2011 - August 18, 2016
EAGLE STRATEGIES LLC
September 27, 2007 - August 18, 2016
NYLIFE SECURITIES LLC
March 24, 2006 - April 30, 2007
CITIGROUP GLOBAL MARKETS INC.
February 25, 2003 - February 16, 2006
CHARLES SCHWAB & CO., INC.
October 31, 1996 - December 12, 2002
CHARLES SCHWAB & CO., INC.
October 11, 1991 - February 4, 1993
ROBERTSON, STEPHENS & COMPANY LLC
August 11, 1986 - August 9, 1990
AMERIPRISE ADVISOR SERVICES, INC.
March 20, 1986 - August 27, 1986
WADDELL & REED
July 6, 1984 - May 14, 1986
FIDELITY BROKERAGE SERVICES LLC
April 13, 1981 - November 4, 1982
MONTGOMERY SECURITIES
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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: 12/6/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 6/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
