Pauline Malmgren
Pauline Malmgren is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Fairfax, VA, with 37 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
4114 Legato Road, Fl 5, Fairfax, VA, 22033
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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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Pauline is a co-trustee of The Swenson Living Trust since 2017, which is an investment-related activity. This takes about 10-20% of her time, with most of the time spent during trading hours.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Raymond James Financial Services
Chevy Chase Financial Services
Chevy Chase Financial ServicesBroker
Riggs Investment CORP.Broker
Financial Network Investment CorporationBroker
Independent Financial Securities, INC.Broker
Janney Montgomery Scott INC.Broker
Derand/pennington/bass, INC.Broker
State Registrations15 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.