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Douglas Randolph Malone

Overflow Financial

Missouri City, TX

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Current Employers
Overflow Financial

Missouri City, TX • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-16
  • TX RA
    APPROVED
    Since 2023-05-16

Branch Locations

Missouri City, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mass Mutual Houston TX 01/2010 05/2022
Mml Investors Services Inc Houston TX 02/2015 10/2021
Fema Missouri City TX 05/2022 Present
Overflow Financial Llc Missouri City TX 12/2022 Present
  • 01/2010 → 05/2022
    Mass Mutual
    Houston, TX
  • 02/2015 → 10/2021
    Mml Investors Services Inc
    Houston, TX
  • 05/2022 → Present
    Fema
    Missouri City, TX
  • 12/2022 → Present
    Overflow Financial Llc
    Missouri City, TX
Previous Registrations
  • 2015-02-24 → 2021-10-06
    Mml Investors Services, Llc
    Houston, TX
  • 2009-04-30 → 2009-11-30
    Edward Jones
    St Louis, MO
    Fresno, TX
    Missouri City, TX
  • 2009-02-10 → 2009-04-22
    Waddell & Reed
    Edmond, OK
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-02
S66 Uniform Combined State Law Examination 2009-02-07
  • S65 Uniform Investment Adviser Law Examination
    2015-02-02
  • S66 Uniform Combined State Law Examination
    2009-02-07
Other Names
  • Douglas Malone
  • Douglas Randolph Malone
  • Douglas Malone

View on SEC IAPD

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