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Current Employers
Third Sigma Investment Advisors Llc

700 North Clayton Street, Wilmington, DE 19805 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-10-17
  • MI RA
    APPROVED
    Since 2024-10-17

Branch Locations

700 North Clayton Street, Wilmington, DE 19805 • United States

200 E. Big Beaver Rd, Ste 132, Troy, MI 48083 • United States

M1 Capital Management Llc

200 E Big Beaver Rd Ste 132, Troy, MI 48083 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2021-01-20
  • MI RA
    APPROVED
    Since 2021-01-20

Branch Locations

200 E Big Beaver Rd Ste 132, Troy, MI 48083 • United States

Milford, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Malloch Properties Llc Milford MI 01/2005 Present
Various Fixed Insurance Companies Auburn Hills MI 10/2005 Present
Cetera Advisors Llc Denver CO 01/2013 08/2024
M1 Capital Management Bloomfield Hills MI 01/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 08/2024
Third Sigma Investment Advisors Llc Wilmington DE 10/2024 Present
Malloch Capital Management Milford MI 01/2007 Present
Innovative Investment Services Milford MI 01/2003 04/2024
  • 01/2005 → Present
    Malloch Properties Llc
    Milford, MI
  • 10/2005 → Present
    Various Fixed Insurance Companies
    Auburn Hills, MI
  • 01/2013 → 08/2024
    Cetera Advisors Llc
    Denver, CO
  • 01/2021 → Present
    M1 Capital Management
    Bloomfield Hills, MI
  • 03/2024 → 08/2024
    Schaumburg, IL
  • 10/2024 → Present
    Wilmington, DE
  • 01/2007 → Present
    Malloch Capital Management
    Milford, MI
  • 01/2003 → 04/2024
    Innovative Investment Services
    Milford, MI
Previous Registrations
  • 2024-03-21 → 2024-08-30
    Troy, MI
    Novi, MI
    Milford, MI
  • 2006-12-12 → 2024-03-21
    Cetera Advisors Llc
    Bloomfield Hills, MI
    Kalamazoo, MI
    Royal Oak, MI
    Livonia, MI
    Greenwood Village, CO
    Novi, MI
    Troy, MI
    Lansing, MI
    Lansing, MI
    Troy, MI
    Milford, MI
  • 2005-03-21 → 2006-10-16
    United Securities Alliance, Inc.
    Auburn Hills, MI
    Auburn Hills, MI
Other Businesses

(1) NAME OF OTHER BUSINESS: MALLOCH PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 10/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY; (2) NAME OF OTHER BUSINESS: M1 WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: Insurance Products Sales; (3) ADJUNCT FACULTY AT MACOMB COMMITTEE COLLEGE, INVESTMENT TOPICS, ADDRESS IS THE REGISTERED LOCATION, TEACHING CLASSES ON FINANCIAL EDUCATION, START APRIL 2014, 3 HOURS PER WEEK - NOT DURING TRADING HOURS, INSTRUCTOR - CLASS IS DESIGNED TO TEACH COMMUNITY EDUCATION AT HIGH SCHOOL AND COMMUNITY COLLEGES IN MICHIGAN;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-16
S66 Uniform Combined State Law Examination 2000-07-25
  • S65 Uniform Investment Adviser Law Examination
    2005-03-16
  • S66 Uniform Combined State Law Examination
    2000-07-25

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