Malcolm Alfred Makin
CFP®Professional Summary
Malcolm Alfred Makin, CFP®, who also goes by Mal Makin, Malcolm A Makin, Malcolm A. Makin Jr., is a registered financial advisor currently at PROFESSIONAL PLANNING GROUP located in Westerly, Rhode Island and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Westerly, Rhode Island. Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Malcolm has worked at 5 firms and has passed the Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Risk Management & Insurance
- Estate & Legacy Planning
- Financial Planning
- Investment Management
- Retirement Planning
Specializations
Biography
Mal founded Professional Planning Group, an independent registered investment advisory firm, in 1976. Through their relationship with Raymond James Financial Services which began in 1989, he and his team of professionals at PPG provide a diverse range of comprehensive wealth management services to individuals, families, businesses, foundations, endowments and “not for profit” charitable organizations. Mal is proud to have been a member of the Raymond James Chairman’s Council on twenty three separate occasions and every...
Other Aliases
Mal Makin, Malcolm A Makin, Malcolm A. Makin Jr.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
Contact Information
Main Address
9 Granite Street, Westerly, RI 02891Phone Number
(401) 596-2800# of Employees
16SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,395AUM (Assets Under Management)
$1,316,426,626Similar Advisors
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.
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Primary Firm SEC Registration
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
State Registrations and Notice Filings
(1/10/2014)
(10/20/1997)
(9/4/1991)
(4/29/1992)
(8/10/1989)
(3/17/2008)
(4/30/2008)
(8/10/1989)
(12/26/2023)
(9/10/1999)
(12/2/2004)
(10/17/1997)
(6/16/1998)
(1/17/2017)
(1/5/1993)
(4/6/1990)
(8/10/1989)
(9/9/1998)
(9/22/2014)
(6/2/2004)
(1/12/2009)
(8/17/2016)
(11/24/2006)
(6/29/1992)
(8/10/1989)
(1/18/2011)
(8/10/1989)
(3/15/1994)
(11/13/1997)
(11/1/2011)
(11/9/1993)
(8/10/1989)
(1/1/1993)
(3/3/1994)
(9/17/2020)
(9/14/2006)
(8/30/2002)
(2/25/2005)
(2/28/2007)
(2/8/1993)
(7/19/2001)
(9/29/1992)
(1/23/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1978SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Alfred Makin's CRS (Customer Relationship Summary).
Services Offered by Malcolm
- Risk Management & Insurance
- Estate & Legacy Planning
- Financial Planning
- Investment Management
- Retirement Planning
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