Roger Malcolm, financial advisor Amherst NY
93 score

Roger Malcolm

CRD Number: 3002268
Current Firm: Mutual Of Omaha Investor Services, Inc.

Roger Malcolm (CRD# 3002268) is an Investment Advisor Representative working at Mutual Of Omaha Investor Services, Inc. in Amherst, NY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Mutual/united Of Omaha Insurance Company Williamsville, NY Jan 1997 - Current 19
Mutual Of Omaha Investor Services, Inc. Syracuse, NY Jan 1997 - Current 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1998
S65 NASAA Investment Advisors Law Examination Oct 2010
Contact Info for Roger D. Malcolm
Phone Number: 402-351-5770
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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