John Arthur Malone

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → 09/2020
  Morgan Stanley
  Birmingham, AL
• 09/2020 → Present
  Raymond James Financial Services, Inc.
  Birmingham, AL
• 09/2020 → Present
  Raymond James Financial Services Advisors, Inc.
  Birmingham, AL

Previous Registrations

• 2009-06-01 → 2020-10-02
  Morgan Stanley
  Birmingham, AL
  Birmingham, AL
• 2009-03-26 → 2009-06-01
  Morgan Stanley & Co. Llc
  Birmingham, AL
• 2000-11-27 → 2009-04-02
  Ubs Financial Services Inc.
  Birmingham, AL
  Birmingham, AL

Other Businesses

(1)Name of Business: Malone Family Trust Address: 201 Office Park Dr Ste 175, Birmingham, AL, 35223, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 10/05/1994 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 1 of 2 trustees that handles fiduciary responsibilities for this trust (2)Name of Business: First Call Financial Address: 201 Office Park Dr Ste 175, Birmingham, AL, 35223, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 09/28/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: I'm an owner and financial advisor. This is our DBA name.

Exams

• S66 Uniform Combined State Law Examination
  2006-09-13
• S63 Uniform Securities Agent State Law Examination
  1998-12-10