Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Malloy is a registered representative with Needham & Company, LLC. John has been in the securities industry since July 28, 2007. John has passed the Series 63, Series 24, Series 7, Series 87, and SIE exams and is currently registered in California, Illinois, Massachusetts, Minnesota, and New York. Prior to joining Needham & Company, LLC, John worked for UBS Securities LLC and Cowen and Company.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Securities research
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
MA
02/21/2017 - Present
Needham & Company, LLC (BOSTON MA)
MA
10/01/2009 - 12/16/2016
UBS SECURITIES LLC (BOSTON MA)
MA
05/03/2007 - 09/10/2009
COWEN AND COMPANY (BOSTON MA)
BC
Issued 06/16/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2018
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/02/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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