KM
KM
Kieran Maloney
37 Years of Experience
Santa Barbara, CA
3 DisclosuresBroker
Kieran Maloney is a registered investment advisor at Raymond James & Associates, INC., based in Santa Barbara, CA, 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 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
1216 State Street, Suite 500, Santa Barbara, CA, 93101
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2003Settled
Customer Dispute
May 2002Denied
Customer Dispute
September 2001Denied
Other Business Activities
Kieran is involved in the production of wine and spirits through 50 Fathoms LLC, which submerges these products in the ocean off the Channel Islands of Santa Barbara, CA.
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
September 2023 - Present · 2 yrs 8 mos
Raymond James & Associates, INC.
September 2023 - Present · 2 yrs 8 mos
Previous Registrations
UBS Financial Services INC.Broker
March 2014 - October 2023 · 9 yrs 7 mos
UBS Financial Services INC.
March 2014 - October 2023 · 9 yrs 7 mos
Wells Fargo Advisors, LLCBroker
July 2003 - April 2014 · 10 yrs 9 mos
Wells Fargo Advisors, LLC
July 2003 - April 2014 · 10 yrs 9 mos
Prudential Securities Incorporated
November 2002 - July 2003 · 8 mos
Prudential Securities IncorporatedBroker
November 2002 - July 2003 · 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 1994 - November 2002 · 8 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1994 - November 2002 · 8 yrs
Lehman Brothers INC.Broker
February 1989 - December 1994 · 5 yrs 10 mos
State Registrations13 states
CACOIDMINCNVNYOHORPASCTXWA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.