Malcolm A. Makin
PROFESSIONAL PLANNING GROUP | President, Founder
Westerly, RI 02891
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CRD#: 851143
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 63, SIE, Series 7, Series 1 and Series 24 exams.
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 year continuously since 1998.*
Regarded as one of the early leaders in the financial planning movement, Mal earned his CERTIFIED FINANCIAL PLANNER™ certification in 1981 and remains committed to the CFP® certification as the credential of choice for financial advisors.
He has served on both state and national boards related to the financial planning industry, including the Board of Directors of the Institute of Certified Financial Planners, the Board of Governors of the Certified Financial Planner™ Board of Standards, and the Financial Planning Association of Rhode Island. From 1987 to 1993, he served on the National Board of Ethics and Professional Responsibility for Certified Financial Planners™ of which he was Chairman for three years.
In 2015, Mal was presented with the “Youth Development Award” by the Ocean Community YMCA for his leadership, support, and commitment to the mission of the YMCA. He received citations for his work from both Senator Dennis Algiere of Westerly and Gina M. Raimondo, Governor of the State of Rhode Island.
Mal is an avid golfer and fly fisherman. He serves on the Board of Governors and is past president of the American Seniors Golf Association. He competes in several national events each year. Mal was the winner of the ASGA National Stroke Play Championship in both 2015 and 2016. In 2012 and 2016, Mal and his partner won the Better Ball of Pairs Championship which was played at Casa de Campo in the Dominican Republic. In 2012, he was a member of the ASGA team that competed against the Japanese Seniors International team at Pinehurst, North Carolina. The Americans were victorious on the golf course, and both teams were victorious in furthering camaraderie and cultural understanding.
Mal is an active member of Point Judith Country Club in Narragansett and has served on the Board of Governors. He is past chair of the Golf Committee. He has won the Senior Club Championship at Point Judith four times, most recently in 2017. At Loblolly Golf Club in Hobe Sound Florida, Mal won the Senior Club Championship in 2013 and the Net Senior Club Championship in 2018.
Mal is a strong supporter of the Caddie programs at Point Judith, Loblolly and Ekwanok Country Club in Manchester, Vermont. He is a supporter and advocate for Button Hole in Providence, RI. Button Hole is a non-profit (501c3) initiative that is funded entirely by public donations. It is dedicated to providing a short course and teaching center focused on kids and "golf, the greatest game."
He is a realist. He is an optimist. His glass is always half full...never half empty. He believes that knowledge, experience, independence, trust and transparency are the keys to a successful client/advisor relationship. He is a great listener and problem solver.
He is the proud father of four grown sons, three of whom are credentialed financial advisors with him at PPG, helping to create a family team of experienced wealth advisors well-positioned to take PPG and its clients confidently into the future. Mal resides in Charlestown, Rhode Island, with his wife, Martha, and their beloved Portuguese water dogs, Reddington and Annabelle. He is the proud grandfather of six talented and loving children.
Question & Answer
What are your service offerings?
Insurance
Trust & estate planning
Executive services/Equity comp...
Financial planning
Loans/credit services
Trading individual securities
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Mal Makin | Malcolm A Makin | Malcolm A. Makin Jr.
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: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 05/01/2000 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Client relationships and business operations
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Alfred Makin'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®
CFP®
Start date: 1981
Experience
Current
June 7, 1990 - Present
PROFESSIONAL PLANNING GROUP
Office #1: 9 Granite Street, Westerly, RI 02891RIA
CRD#: 108868
Westerly, RI
Current
August 10, 1989 - Present
RAYMOND JAMES FINANCIAL SERVICES, INC.
Office #1: 9 Granite Street, Westerly, RI 02891BD
CRD#: 6694
Westerly, RI
Past
June 7, 1990 - December 31, 2002
PROFESSIONAL PLANNING GROUP
RIA
CRD#: 108868
WESTERLY, RI
Past
June 29, 1989 - February 9, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 16, 1982 - August 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
April 17, 1978 - April 21, 1982
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
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".
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 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.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(1/10/2014)
RR
Arizona(10/20/1997)
RR
California(9/4/1991)
RR
Colorado(4/29/1992)
RR
Connecticut(8/10/1989)
RR
Delaware(3/17/2008)
RR
District of Columbia(4/30/2008)
RR
Florida(8/10/1989)
IAR
Florida(12/26/2023)
RR
Georgia(9/10/1999)
RR
Illinois(12/2/2004)
RR
Indiana(10/17/1997)
RR
Kentucky(6/16/1998)
RR
Louisiana(1/17/2017)
RR
Maine(1/5/1993)
RR
Maryland(4/6/1990)
RR
Massachusetts(8/10/1989)
RR
Michigan(9/9/1998)
RR
Minnesota(9/22/2014)
RR
Mississippi(6/2/2004)
RR
Missouri(1/12/2009)
RR
Montana(8/17/2016)
RR
Nevada(11/24/2006)
RR
New Hampshire(6/29/1992)
RR
New Jersey(8/10/1989)
RR
New Mexico(1/18/2011)
RR
New York(8/10/1989)
RR
North Carolina(3/15/1994)
RR
Ohio(11/13/1997)
RR
Oregon(11/1/2011)
RR
Pennsylvania(11/9/1993)
RR
Rhode Island(8/10/1989)
IAR
Rhode Island(1/1/1993)
RR
South Carolina(3/3/1994)
RR
South Dakota(9/17/2020)
RR
Tennessee(9/14/2006)
RR
Texas(8/30/2002)
IAR
Texas(2/25/2005)
RR
Utah(2/28/2007)
RR
Vermont(2/8/1993)
RR
Virginia(7/19/2001)
RR
Washington(9/29/1992)
RR
Wisconsin(1/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/8/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9 Granite Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-2800
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,354 |
| AUM (Assets Under Management) | $ 1,166,383,072 |
Red Flags
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Company Information
PROFESSIONAL PLANNING GROUP
President, FounderCRD#: 108868Westerly, RI 02891TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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