Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Krista? Claim Your ProfileKrista Maloney has been a registered advisor since 1996. Krista has worked with Fairbridge Capital Partners LLC, UBS Financial Services, and Morgan Stanley Smith Barney LLC. Krista has a Series 7, Series 24, Series 63 and Series 66 license and specializes in Portfolio Management for Individuals, Portfolio Management for Businesses, Financial Planning, Pension Consulting, Educational Seminars, Publication of Periodicals, and Selection of Other Advisers. Krista is currently employed by UBS Financial Services Inc. as a registered representative.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/28/2021 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
07/15/2016 - 10/25/2021
MORGAN STANLEY (Newport Beach CA)
CA
08/16/2013 - 05/11/2016
FAIRBRIDGE CAPITAL MARKETS (NEWPORT BEACH CA)
CA
07/29/2011 - 04/02/2013
LPL FINANCIAL LLC (NEWPORT BEACH CA)
CA
01/05/2010 - 06/04/2010
FINACORP SECURITIES (IRVINE CA)
CA
10/20/2005 - 08/07/2008
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEWPORT BEACH CA)
CA
05/19/2000 - 09/06/2005
FINACORP SECURITIES (IRVINE CA)
NY
11/15/1998 - 01/07/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
09/09/1997 - 09/18/1998
WALDRON & CO., INC. (IRVINE CA)
NY
04/24/1996 - 09/08/1997
H.J. MEYERS & CO., INC. (ROCHESTER NY)
CA
02/22/1996 - 04/12/1996
DAEHAN SECURITIES, INC. (LOS ANGELES CA)
BOTH
Issued 10/11/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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