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Ricky Franklin Mallory

DWS Distributors, Inc.

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About Ricky Franklin Mallory

Ricky Mallory is a financial professional with over 20 years of experience in the industry. Ricky is currently registered with DWS Distributors, Inc. in Jacksonville, FL. Ricky's experience includes working with DEUTSCHE BANK SECURITIES INC., DB SECURITIES SERVICES NJ INC., METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, and USALLIANZ SECURITIES, INC. Ricky holds multiple licenses, including Series 6, 7, 24, 52TO, 53, and 63. Ricky is also a licensed Investment Advisor Representative in Florida and New York.

Firm Information

Ricky Mallory is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

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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Ricky Mallory’s Registration & Firm History

FL

01/07/2015 - Present

DWS Distributors, Inc. (JACKSONVILLE FL)

FL

01/03/2012 - 01/07/2015

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

NJ

03/31/2011 - 01/03/2012

DB SECURITIES SERVICES NJ INC. (JERSEY CITY NJ)

WV

02/20/2004 - 02/04/2010

METLIFE SECURITIES INC. (SCOTT DEPOT WV)

WV

02/20/2004 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (HURRICANE WV)

MN

08/02/2001 - 12/31/2001

USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)

MA

01/26/1998 - 08/08/2001

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

01/26/1998 - 08/08/2001

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

IA

Issued 09/22/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/15/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/16/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/20/2005

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 03/04/2005

Series 7 - General Securities Representative Examination

BC

Issued 12/04/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Ricky Franklin Mallory. Review regulatory record here.
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