Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Malcolm? Claim Your ProfileMalcolm Roane has been a registered investment advisor since 1989 and has worked for a variety of firms, including LPL Financial LLC, CUNA Brokerage Services, Inc., and Osaic Institutions, Inc. Malcolm specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and charitable organizations.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
CA
05/04/2022 - Present
Osaic Institutions, Inc. (Downey CA)
CA
06/20/2011 - 05/18/2022
LPL FINANCIAL LLC (DOWNEY CA)
CA
11/15/2005 - 06/20/2011
CUNA BROKERAGE SERVICES, INC. (DOWNEY CA)
SC
08/27/2004 - 11/02/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
04/15/2003 - 07/26/2004
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
07/20/1998 - 03/17/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
05/14/1997 - 07/14/1998
GILFORD SECURITIES INCORPORATED (NEW YORK NY)
TX
07/14/1997 - 09/19/1997
FIRST SOUTHWEST COMPANY (DALLAS TX)
NY
08/30/1995 - 07/05/1996
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
09/09/1994 - 07/12/1995
GOVERNMENT SECURITIES CORPORATION
NA
09/09/1994 - 07/12/1995
GSC SECURITIES, INC.
NY
03/04/1994 - 08/25/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
TX
11/16/1989 - 01/13/1994
MMAR GROUP, INC. (HOUSTON TX)
FL
05/16/1989 - 12/31/1989
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
BOTH
Issued 03/31/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1994
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1989
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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