Robert B. Maloney
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.
Robert Bernard Maloney was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 5, PC, Series 7, Series 9, Series 10, Series 24, Series 4 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
July 22, 2022 - December 15, 2023
B. RILEY WEALTH MANAGEMENT
May 5, 2021 - December 15, 2023
B. RILEY WEALTH ADVISORS, INC.
March 18, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
January 5, 2018 - July 22, 2021
WINSLOW WEALTH MANAGEMENT LLC
January 10, 2013 - December 31, 2017
WINSLOW WEALTH MANAGEMENT LLC
February 4, 2005 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
August 18, 1998 - June 10, 2021
WINSLOW, EVANS & CROCKER, INC.
March 10, 1987 - June 23, 1997
CITIGROUP GLOBAL MARKETS INC.
March 24, 1981 - March 13, 1987
MORGAN STANLEY DW INC.
September 26, 1978 - April 23, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/14/2002
Limited Representative-Equity Trader ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 5/7/1981
AMEX Put and Call ExamSeries 8
Date: 12/30/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
