Malcolm Roane is a registered investment advisor at Osaic Institutions, INC., based in Downey, CA, with 35 years of industry experience. Malcolm operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
7800 Imperial Hwy, Downey, CA, 90242
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Malcolm refers clients to AmerEstate Legal Plan, Inc. for living trusts and wills, spending minimal time on this activity.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Linsco/private Ledger CORP.Broker
Cuso Financial Services, L.P.Broker
Wm Financial Services, INC.Broker
First Southwest CompanyBroker
Gilford Securities IncorporatedBroker
Josephthal Lyon & Ross IncorporatedBroker
Gsc Securities, INC.Broker
Government Securities CorporationBroker
Oppenheimer & CO., INC.Broker
Mmar Group, INC.Broker
Robert Thomas Securities, INCBroker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.