Michael D. Malone

ETHOS FINANCIAL GROUP

King Of Prussia, PA 19406

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CRD#: 817458

Professional summary

Michael Dennis Malone, who also goes by Michael D Malone, is a registered financial advisor currently at ETHOS FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Michael has worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael D Malone

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.

1.NAME OF BUSINESS:MICHAEL MALONE INVESTMENT ADVISORY, 656 E. SWEDESFORD RD, SUITE 301, WAYNE, PA 19087 484-580-2277. NO SEPARATE EMAIL. THIS BUSINESS IS A DBA. NATURE OF BUSINESS:INVESTMENT ADVICE. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:PRINCIPAL. DUTIES:OFFER INVESTMENT ADVICE FOR A FEE. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:140. # OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS:8. FINANCIAL INTEREST IN THIS BUSINESS:YES. HOW COMPENSATED:FEES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis Malone'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

December 7, 2023 - Present

ETHOS FINANCIAL GROUP, LLC

Office #1: 2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

RIA

CRD#: 321748

King Of Prussia, PA

Past

November 5, 2020 - December 7, 2023

ALMANACK INVESTMENT PARTNERS

RIA

CRD#: 282428

Wayne, PA

Past

July 6, 2015 - November 5, 2020

MERCAP ADVISORS, INC.

RIA

CRD#: 170092

PAOLI, PA

Past

December 23, 2011 - January 5, 2016

MERION WEALTH PARTNERS, LLC

RIA

CRD#: 152680

SWARTHMORE, PA

Past

November 14, 2011 - December 22, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SWARTHMORE, PA

Past

April 23, 2004 - December 22, 2011

LPL FINANCIAL LLC

CRD#: 6413

SWARTHMORE, PA

Past

July 20, 2000 - April 23, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CONSHOHOCKEN, PA

Past

October 1, 1999 - April 23, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 27, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

November 30, 1995 - May 5, 1998

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 15, 1990 - December 11, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 5, 1988 - October 11, 1988

MERITOR GROUP INVESTMENTS CORP.

CRD#: 18167

Past

November 18, 1985 - March 10, 1987

HOPPER SOLIDAY & CO., INC.

CRD#: 409

Past

May 12, 1983 - March 4, 1985

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

December 3, 1980 - May 19, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 23, 1979 - November 29, 1980

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

February 6, 1979 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

CRD#: 7501

Past

September 26, 1978 - March 10, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 27, 1976 - March 10, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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
(12/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2004

General Securities Principal Examination

Current Firm

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

Mailing Address

Phone number

(484) 889-7270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	3,935
AUM (Assets Under Management)	$ 1,576,974,645

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.

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Advisor Monitoring

Firm Stability Insights

Michael D. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis Malone's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALMANACK INVESTMENT PARTNERS

MERCAP ADVISORS, INC.

MERION WEALTH PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

JANNEY MONTGOMERY SCOTT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERITOR GROUP INVESTMENTS CORP.

HOPPER SOLIDAY & CO., INC.

MOSELEY SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MOSELEY SECURITIES CORPORATION

MOSELEY, HALLGARTEN & ESTABROOK INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

ETHOS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1994

Series 63

Date: 5/1/1980

Series 7

Date: 1/17/1976

Series 24

Date: 6/22/2004

Current Firm

ETHOS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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