Stacey Maloney, financial advisor Folsom CA
81 score

Stacey Maloney

CRD Number: 1979547
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stacey Maloney (CRD# 1979547) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Folsom, CA and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Folsom, CA Aug 2015 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Folsom, CA Aug 2015 - Current 1
Unemployed Folsom, CA May 2015 - Aug 2015 < 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - May 2015 < 1
Morgan Stanley Morristown, NJ May 2014 - May 2015 1
Unemployed Califon, NJ Feb 2014 - May 2014 < 1
Hydraulic Institute Parsippany, NJ Mar 2013 - Feb 2014 < 1
Unemployed Pompton Plains, NJ Feb 2013 - Mar 2013 < 1
Coach, Inc. New York, NY Dec 2012 - Feb 2013 < 1
Unemployed Pompton Plains, NJ Nov 2012 - Dec 2012 < 1
Noel Schablik, P.a. Parsippany, NJ Oct 2012 - Nov 2012 < 1
Unemployed Pompton Plains, NJ Sep 2012 - Oct 2012 < 1
The Edwards Law Firm Sarasota, FL Aug 2012 - Sep 2012 < 1
Unemployed Sarasota, FL May 2012 - Aug 2012 < 1
Keller Williams Sarasota, FL Apr 2011 - May 2012 1
Unemployed Sarasota, FL Feb 2011 - Apr 2011 < 1
Shea Wood Sarasota, DC Mar 2009 - Feb 2011 1
Unemployed Englewood, FL Feb 2009 - Mar 2009 < 1
Stanford Group Company Longboat Key, FL Aug 2007 - Feb 2009 1
Gulf Coast Community Foundation Venice, FL Apr 2007 - Aug 2007 < 1
Unemployed Englewood, FL Aug 2006 - Apr 2007 < 1
Sino Fresh Health Care, Inc. Englewood, FL Apr 2003 - Aug 2006 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2014
S63 Uniform Securities State Law Examination Aug 1997
S65 NASAA Investment Advisors Law Examination Feb 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Stacey A. Maloney
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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

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BADGES
81

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