DM
DM
David Malone
22 Years of Experience
Birmingham, AL
2 DisclosuresBroker
David Malone is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Birmingham, AL, with 22 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
201 Office Park Drive, Ste 175, Birmingham, AL, 35223
Get directionsHistory
Regulatory History (2)
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Customer Dispute
April 2008Settled
Customer Dispute
April 2008Settled
Other Business Activities
David is involved with GB Letson Farms, LLC as a private investment since 2016. He spends minimal time on 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.
January 2004 - April 2009 · 5 yrs 3 mos
UBS Financial Services INC.Broker
December 2003 - April 2009 · 5 yrs 4 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.