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Detailed Report
JAMES SCOTT MALLOCH
SCOTT MALLOCH
CRD#: 1873780
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Investment Adviser
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Previous Broker
ADVISORY SERVICES NETWORKCRD#: 146051 Crockett, TX
Registration History
199019952000200520102015202020252 FIRMS2021 - 2021 (<1 year)2 FIRMS2004 - 2004 (<1 year)2 FIRMS2004 - 2005 (<1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2021 (12 years)IAADVISORY SERVICES NETWORK (CRD# 146051)2021 - Present (3 years)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)1991 - 2004 (13 years)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1988 - 1989 (<1 year)
Disclosure(s)
View By:
10/5/2021
Employment Separation After Allegations
License(s)

State Registrations

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Louisiana 11/16/2021
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Texas 11/15/2021
Current Registration(s)
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ADVISORY SERVICES NETWORK (CRD#:146051)
Crockett, TX
Registered with this firm since 11/15/2021
Previous Registration(s)
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 10/27/2021 - 10/28/2021 ADVISORY SERVICES NETWORK (CRD#:146051) Crockett, TX
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 10/11/2021 - 10/26/2021 MALLOCH WEALTH MANAGEMENT (CRD#:316430) CHAPPELL HILL, TX
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 08/10/2009 - 10/22/2021 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) CHAPPELL HILL, TX
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 08/10/2009 - 10/22/2021 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) CHAPPELL HILL, TX
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 03/16/2006 - 08/26/2009 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) BRYAN, TX
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 03/31/2006 - 08/26/2009 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) BRYAN, TX
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 11/05/2004 - 10/05/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) COLLEGE STATION, TX
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 11/04/2004 - 10/05/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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 06/10/2004 - 07/06/2004 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
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 06/10/2004 - 07/06/2004 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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 05/02/1991 - 06/04/2004 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
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 10/04/1988 - 05/16/1989 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691) DENVER, CO
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.