Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Malcolm? Claim Your ProfileMalcolm Richardson Frost is a financial advisor who has been in the industry for over 35 years. Malcolm is currently registered with Stifel, Nicolaus & Company, Inc. as a Registered Representative and Investment Advisor Representative. Malcolm is also a registered Investment Advisor Representative with Stifel, Nicolaus & Company, Inc. in California and Indiana. Malcolm is active in the industry and has an impressive track record of success. Malcolm has worked with several financial institutions over his career, including CITY SECURITIES CORPORATION, NATCITY INVESTMENTS, INC., NATCITY INSURANCE SERVICES, INC., RAFFENSPERGER, HUGHES & CO., INC., SHEARSON LEHMAN BROTHERS INC. and E. F. HUTTON & COMPANY INC. Malcolm provides investment advice to a diverse range of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. Malcolm has a strong understanding of the financial markets and is committed to helping clients achieve their financial goals.
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.
1
2
IN
11/04/2020 - Present
Stifel, Nicolaus & Company, Inc. (ZIONSVILLE IN)
IN
02/18/2003 - 02/28/2017
CITY SECURITIES CORPORATION (FORT WAYNE IN)
OH
07/14/1995 - 02/28/2003
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
OH
01/07/2000 - 12/31/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
IN
12/09/1987 - 07/14/1995
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
NA
01/08/1986 - 12/07/1987
SHEARSON LEHMAN BROTHERS INC.
NA
10/26/1984 - 01/21/1986
E. F. HUTTON & COMPANY INC
IA
Issued 04/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/22/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/14/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/30/1999
Series 4 - Registered Options Principal Examination
BC
Issued 03/12/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/07/1984
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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