Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kieran? Claim Your ProfileKieran Maloney is an investment advisor representative at Raymond James & Associates, Inc. located in Santa Barbara, CA. Kieran has been in the financial industry since 1989 and has experience with UBS Financial Services Inc. and Wells Fargo Advisors, LLC. Kieran's specializations include portfolio management for individuals, portfolio management for businesses, financial planning, pension consulting, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
A percentage of the total value of assets under management is charged.
1
2
CA
10/02/2023 - Present
Raymond James & Associates, Inc. (SANTA BARBARA CA)
CA
03/28/2014 - 10/10/2023
UBS FINANCIAL SERVICES INC. (SANTA BARBARA CA)
CA
07/01/2003 - 04/02/2014
WELLS FARGO ADVISORS, LLC (SANTA BARBARA CA)
NY
11/25/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/25/1994 - 11/26/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/14/1989 - 12/01/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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