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JM

Joshua A. Malloy-johnson

ALIGHT FINANCIAL SOLUTIONS
CHARLOTTE, NC 28269
Some features on this profile are disabled
CRD#: 7838595
JM
Joshua A Malloy-johnsonALIGHT FINANCIAL SOLUTIONS

Professional summary

Joshua A Malloy-johnson is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2024. Joshua has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 10 and Series 9 exams.

Aliases

None

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 Joshua A Malloy-johnson'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 19, 2026 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269
BD
CRD#: 36509
CHARLOTTE, NC
Past

March 22, 2024 - July 31, 2026

MORGAN STANLEY

BD
CRD#: 149777
GILBERT, AZ

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
Alaska
(8/19/2026)
RR
Arizona
(8/19/2026)
RR
Arkansas
(8/19/2026)
RR
California
(8/19/2026)
RR
Colorado
(8/19/2026)
RR
Connecticut
(8/19/2026)
RR
District of Columbia
(8/19/2026)
RR
Florida
(8/19/2026)
RR
Georgia
(8/19/2026)
RR
Illinois
(8/19/2026)
RR
Indiana
(8/19/2026)
RR
Kansas
(8/19/2026)
RR
Louisiana
(8/19/2026)
RR
Maine
(8/19/2026)
RR
Maryland
(8/19/2026)
RR
Massachusetts
(8/19/2026)
RR
Michigan
(8/19/2026)
RR
Minnesota
(8/19/2026)
RR
Mississippi
(8/19/2026)
RR
Missouri
(8/19/2026)
RR
Montana
(8/19/2026)
RR
Nebraska
(8/19/2026)
RR
Nevada
(8/19/2026)
RR
New Hampshire
(8/19/2026)
RR
New Jersey
(8/19/2026)
RR
New Mexico
(8/19/2026)
RR
New York
(8/19/2026)
RR
North Carolina
(8/19/2026)
RR
North Dakota
(8/19/2026)
RR
Ohio
(8/19/2026)
RR
Oklahoma
(8/19/2026)
RR
Oregon
(8/19/2026)
RR
Pennsylvania
(8/19/2026)
RR
Puerto Rico
(8/19/2026)
RR
Rhode Island
(8/19/2026)
RR
South Carolina
(8/19/2026)
RR
Tennessee
(8/19/2026)
RR
Texas
(8/19/2026)
RR
Vermont
(8/19/2026)
RR
Virginia
(8/19/2026)
RR
Washington
(8/19/2026)
RR
West Virginia
(8/19/2026)
RR
Wisconsin
(8/19/2026)
RR
Wyoming
(8/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/6/2025
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/5/2025
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

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

Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALIGHT SOLUTIONS, LLCOWNER
CHOTKOWSKI, MATTHEW ADAMCHIEF COMPLIANCE OFFICER5233117
FRITZ, JEREMY JASONDIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO3261871
KEITH, DOUGLAS SCOTTCHIEF FINANCIAL OFFICER5190086

Disclosures

Regulatory Event2
Arbitration2

Red Flags

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Company Information

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509Charlotte, NC 28269

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