John Malone is a registered investment advisor, based in Birmingham, AL, with 27 years of industry experience.
Location
201 Office Park Drive, Suite 175, Birmingham, AL, 35223
Get directionsHistory
Regulatory History (2)
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 2008Settled
Customer Dispute
April 2008Settled
Other Business Activities
John is a trustee for the Malone Family Trust, handling fiduciary responsibilities. He dedicates minimal time to this activity.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
September 2020 - Present · 5 yrs 8 mos
Raymond James Financial Services Advisors, INC
September 2020 - Present · 5 yrs 8 mos
Previous Registrations
Morgan Stanley
June 2009 - October 2020 · 11 yrs 4 mos
Morgan StanleyBroker
June 2009 - October 2020 · 11 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
March 2009 - June 2009 · 3 mos
Morgan Stanley & CO. Incorporated
March 2009 - June 2009 · 3 mos
UBS Financial Services INC.
November 2000 - April 2009 · 8 yrs 5 mos
UBS Financial Services INC.Broker
August 2000 - April 2009 · 8 yrs 8 mos
J.C. Bradford & CO.Broker
December 1998 - August 2000 · 1 yr 8 mos
State Registrations23 states
ALAZCACODCFLGAILKYMIMNMSNCNJNYOHORPASCTNTXVAWA
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.