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JE

John W. Eisele

MALVERN CAPITAL MANAGEMENT
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 76519
JE

Professional summary

John William Eisele, who also goes by John W Eisele, is a registered financial advisor currently at MALVERN CAPITAL MANAGEMENT located in Malvern, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. John has worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, Series 3, PC, Series 1, Series 10, Series 9, Series 8 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John W Eisele

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 John William Eisele'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

August 6, 2024 - Present

MALVERN CAPITAL MANAGEMENT

Office #1: 5 Great Valley Parkway Suite 226, Malvern, PA 19355
RIA
CRD#: 292396
Malvern, PA
Past

June 10, 2013 - August 14, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
NORRISTOWN, PA
Past

June 10, 2013 - August 14, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
NORRISTOWN, PA
Past

March 18, 2013 - May 1, 2013

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

March 18, 2013 - May 1, 2013

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 31, 2009 - June 16, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BRYN MAWR, PA
Past

October 9, 2008 - June 16, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BRYN MAWR, PA
Past

December 14, 2005 - June 25, 2007

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
MALVERN, PA
Past

December 13, 2005 - June 25, 2007

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
MALVERN, PA
Past

December 11, 2002 - April 16, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
NEW YORK, NY
Past

June 21, 2002 - April 16, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 29, 2002 - July 11, 2002

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

June 17, 1999 - May 13, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

August 29, 1995 - February 2, 1999

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

December 11, 1984 - September 7, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 26, 1984 - December 5, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

February 6, 1978 - June 26, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

October 12, 1976 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

BD
CRD#: 514
Past

August 27, 1973 - September 19, 1976

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

March 28, 1973 - November 15, 1973

MITCHUM, JONES & TEMPLETON INCORPORATED

BD
CRD#: 584
Past

November 17, 1972 - June 21, 1973

BWA INCORPORATED

BD
CRD#: 1000002

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".
MC
MALVERN CAPITAL MANAGEMENT
MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA
Registered Investment Advisory firm - (8/30/2024 Approved)
New Jersey
Registered Investment Advisory firm - (9/9/2024 Terminated)
Pennsylvania
Registered Investment Advisory firm - (9/4/2024 Terminated)
Texas
Registered Investment Advisory firm - (9/11/2024 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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(8/6/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/19/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 15
Date: 3/26/1991
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 4/12/1990
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 12/12/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 2/6/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 8/21/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 2/6/1978
Registered Options Principal Examination

Current Firm

MC
MALVERN CAPITAL MANAGEMENT
MALVERN CAPITAL MANAGEMENT | MALVERN CAPITAL MANAGEMENT, LLC

CRD#: 292396 / SEC#: 801-131034

RIA
Registered Investment Advisory firm - (8/30/2024 Approved)
New Jersey
Registered Investment Advisory firm - (9/9/2024 Terminated)
Pennsylvania
Registered Investment Advisory firm - (9/4/2024 Terminated)
Texas
Registered Investment Advisory firm - (9/11/2024 Terminated)
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Contact information

Main Address
5 Great Valley Parkway Suite 226, Malvern, PA 19355
Mailing Address
Phone number
(610) 979-1462
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A&2B SEC (2/6/2025)

Regulatory assets under management

Total Number of Accounts350
AUM (Assets Under Management)$ 225,376,716

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.

Company Information

MALVERN CAPITAL MANAGEMENT

CRD#: 292396Malvern, PA 19355

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