WM
WM
Winston Malone
19 Years of Experience
Trophy Club, TX
2 DisclosuresBrokerSells Insurance
Winston Malone is a registered investment advisor, based in Trophy Club, TX, with 19 years of industry experience.
Location
99 Trophy Club Dr., Trophy Club, TX, 76262
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.
Judgment / Lien
March 2020Judgment / Lien
February 2016Other Business ActivitiesSells Insurance
Winston is an independent insurance agent for various independent insurance companies. He also works as an advisory representative of a Registered Investment Advisor (RIA), spending about half of his time on this activity, with half of that time dedicated to trading.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
January 2013 - Present · 13 yrs 4 mos
Cambridge Investment Research, INC.Broker
January 2013 - Present · 13 yrs 4 mos
Previous Registrations
MML Investors Services, LLC
October 2010 - January 2013 · 2 yrs 3 mos
MML Investors Services, LLCBroker
March 2010 - January 2013 · 2 yrs 10 mos
Northwestern Mutual Investment Services, LLCBroker
April 2006 - February 2010 · 3 yrs 10 mos
State Registrations4 states
FLGATNTX
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.