Malcolm Elliott Katt
Professional Summary
Malcolm Elliott Katt was a registered financial advisor. Malcolm was a previously registered financial professional and started their career in finance 1978 - 2000. Malcolm had worked at 8 firms and has passed the Series 63, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST UNION BROKERAGE SERVICES, INC. | SALEM SECURITIES, INC. | SALEM SECURITIES INC. | FIRST UNION DISCOUNT BROKERAGE SERVICES, INC.
Contact Information
Established
North Carolina since 11/02/1979Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | — |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | — |
| MCMULLEN, DONALD ANDREW | DIRECTOR | — |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
Regulatory Event
18Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1999About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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