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Nicol Malas

Bancroft Capital, LLC

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About Nicol Malas

Nicol Malas is a registered representative with Bancroft Capital, LLC. Nicol is a seasoned financial professional with over two decades of experience in the industry, specializing in various financial services. Nicol has a strong background in investment banking and municipal securities, as well as expertise in providing financial planning and pension consulting services.

Firm Information

Nicol Malas is currently registered with Bancroft Capital, LLC. Bancroft Capital, LLC is a Limited Liability Company formed in July 2017. The firm provides financial planning and pension consulting services to a variety of clients. They are registered with the SEC and in 34 states. They have 4 investment adviser representatives and 4 registered representatives.

Not reported

Assets Under Management

Not reported

Total Clients

30

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicol Malas’s Registration & Firm History

NY

05/08/2023 - Present

Bancroft Capital, LLC (Uniondale NY)

NY

02/17/2021 - 05/09/2023

AMERICAN VETERANS GROUP, PBC (MELVILLE NY)

NY

06/19/2020 - 01/20/2021

HILLTOP SECURITIES INC. (NEW YORK NY)

NY

10/07/2015 - 02/04/2020

JEFFERIES LLC (NEW YORK NY)

NY

06/25/2014 - 10/05/2015

PNC CAPITAL MARKETS LLC (NEW YORK NY)

IL

03/31/2009 - 06/25/2014

SIEBERT, BRANDFORD, SHANK & CO., L.L.C. (CHICAGO IL)

NY

07/08/2008 - 03/12/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/16/2006 - 07/02/2008

UBS SECURITIES LLC (NEW YORK NY)

NJ

02/09/2000 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 05/22/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/13/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 3 public disclosures for Nicol Malas. Review regulatory record here.
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