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KM

Kaitlyn R. Malloy

D/B/A PALAZZO
New York, NY 10019
Some features on this profile are disabled
CRD#: 7830244
KM

Professional summary

Kaitlyn Ryan Malloy, who also goes by Kaitlyn Malloy, is a registered financial professional currently at D/B/A PALAZZO located in New York, New York.

Kaitlyn is registered as a RR (Registered Representative) and started their career in finance in 2024. Kaitlyn has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kaitlyn Malloy

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) - BD

Click below to view Kaitlyn Ryan Malloy'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®
None

Experience

Current

September 18, 2025 - Present

D/B/A PALAZZO

Office #1: 145 West 57th Street 17th Floor, New York, NY 10019
BD
CRD#: 156378
New York, NY
Past

February 1, 2024 - September 2, 2025

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(9/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/6/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DP
D/B/A PALAZZO
D/B/A PALAZZO | PALAZZO SECURITIES LLC

CRD#: 156378 / SEC#: , 8-68792

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
145 West 57th Street 17th Floor, New York, NY 10019
Mailing Address
145 West 57th Street 17th Floor, New York, NY 10010
Phone number
(212) 402-9000
Established
New York since 01/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PA PALAZZO LLCSOLE MEMBER
PALAZZO, PHILIP A. JR.CEO, CCO, AML COMPLIANCE OFFICER, INVESTMENT BANKING MANAGER5885547
RANKEL, WILLIAM EDWINFINOP/CFO2074785

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

D/B/A PALAZZO

CRD#: 156378New York, NY 10019

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