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858 Camp Street, New Orleans, LA 70130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-30 |
| UT | RA | APPROVED | 2021-09-30 |
Branch Locations
858 Camp Street, New Orleans, LA 70130 • United States
240 N. East Promontory Suite 200, Farmington, UT 84025 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Salt Lake City | UT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Salt Lake City | UT | 11/2016 | 05/2021 |
| Iht Wealth Management | Chicago | IL | 05/2021 | 09/2021 |
| Newedge Advisors Llc | New Orleans | LA | 09/2021 | Present |
1. Mr. Mallett conducts advisory services through NewEdge Advisors, LLC, a registered investment advisor, doing business as (DBA) Three Peaks Wealth Management. Mr. Mallett is an investment advisor representative and devotes 160 hours per month to this activity during trading hours. 2. Mr. Mallett is a licensed insurance agent/broker. He may offer insurance products and receive customary fees as a result of insurance sales. A conflict of interest may arise as these insurance sales may create an incentive to recommend products based on the compensation earned. To mitigate this potential conflict, Mr. Mallett, as a fiduciary, will act in the client's best interest. 3. MALLETT DESIGN LLC, NOT INV RELATED, KAYSVILLE, UT, 100% OWNER, START: 1/1/2017, 10 HOURS PER MONTH/0 DURING TRADING, DUTIES: DEVELOP TENNIS RACQUET GRIP. RENTAL PROPERTY, INVT RELATED, MIDVALE, UT, 100% OWNERSHIP, START DATE 6/8/2019, 1 HR PER MONTH, 0 HRS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-08 |
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