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Patrick J Mallen

B. C. Ziegler AND Co.

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About Patrick J Mallen

Patrick J. Mallen is a financial professional with experience in the securities industry. Patrick has held positions at B. C. Ziegler AND Co. and Herbert J. Sims & Co, INC. Patrick has passed the Series 7TO, SIE, Series 79 and Series 50 exams. Patrick is currently registered with B. C. Ziegler AND Co.. Patrick is not registered with any states.

Firm Information

Patrick Mallen is currently registered with B. C. Ziegler AND Co.. B. C. Ziegler AND Co. is a Corporation that was formed on February 12, 1920. The firm is registered in 52 states and has been approved for SEC registration. They offer a variety of services to a diverse client base, including insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The firm has disclosed 7 Regulatory Events, 2 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

59

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.

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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Patrick Mallen’s Registration & Firm History

MD

11/30/2020 - Present

B. C. Ziegler AND Co. (BETHESDA MD)

MD

03/12/2018 - 11/04/2020

HERBERT J. SIMS & CO, INC. (Rockville MD)

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Licenses & Designations

BC

Issued 02/14/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/12/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 01/22/2016

Series 50 - Municipal Advisor Representative Qualification Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patrick J Mallen.
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