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John Kevin Maloney

Wells Fargo Clearing Services, LLC

North Haven, CT

West Haven, CT

Woodbridge, CT

Purchase, NY

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-31
CT RA APPROVED 2004-08-19
  • TX RA
    APPROVED_RES
    Since 2021-03-31
  • CT RA
    APPROVED
    Since 2004-08-19

Branch Locations

80 Washington Ave, North Haven, CT 06473 • United States

597 Campbell Ave, West Haven, CT 06516 • United States

260 Amity Rd, Woodbridge, CT 06525 • United States

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • 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
Wells Fargo Advisors Llc Branford CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Branford CT 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-17
S63 Uniform Securities Agent State Law Examination 1999-12-28
  • S65 Uniform Investment Adviser Law Examination
    2004-08-17
  • S63 Uniform Securities Agent State Law Examination
    1999-12-28
Other Names
  • J. Kevin Maloney

View on SEC IAPD

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LPL FINANCIAL LLC
GATEWAY WEALTH PARTNERS, LLC
KEY INVESTMENT SERVICES LLC
BELPOINTE ASSET MANAGEMENT LLC
INNOVATIVE ASSET ADVISORS GROUP

Other Investors

MICHAEL L BENCIVENGO
KUSUM RAMCHANDANI
MAXWELL EDWARD MCLENNA
JOSEPH BRUNO DEDOMENICO
MICHAEL STEPHEN THOMPSON
BRUCE WILLIAM ANESI
BONNIE SVIRIDOFF
JOSEPH F SCHRECK

Other Offices

OSAIC WEALTH, INC. · NORTH HAVEN, CT
CETERA INVESTMENT ADVISERS LLC · NORTH HAVEN, CT
COMMONWEALTH FINANCIAL NETWORK · NORTH HAVEN, CT
LPL FINANCIAL LLC · NORTH HAVEN, CT
GATEWAY WEALTH PARTNERS, LLC · North Haven, CT
KEY INVESTMENT SERVICES LLC · NORTH HAVEN, CT
BELPOINTE ASSET MANAGEMENT LLC · North Haven, CT
INNOVATIVE ASSET ADVISORS GROUP · North Haven, CT

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