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KIERAN THOMAS MALONEY
CRD#: 1895667
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1216 STATE STREET
SUITE 500
SANTA BARBARA, CA 93101
Registration History
199019952000200520102015202020252 FIRMS1994 - 2002 (8 years)2 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - 2014 (10 years)2 FIRMS2014 - 2023 (9 years)2 FIRMS2023 - Present (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1994 (5 years)
Disclosure(s)
View By:
4/7/2003
Customer Dispute
Settled
5/3/2002
Customer Dispute
Denied
9/5/2001
Customer Dispute
Denied
License(s)

State Registrations

B
California 9/29/2023

B
Ohio 9/29/2023

IA
California 9/29/2023

B
Oregon 9/29/2023

B
Colorado 9/29/2023

B
Pennsylvania 9/29/2023

B
Idaho 9/29/2023

B
South Carolina 10/3/2023

B
Michigan 9/29/2023

B
Texas 9/29/2023

B
Nevada 10/16/2023

IA
Texas 9/29/2023

B
New York 9/29/2023

B
Washington 10/11/2023

B
North Carolina 10/16/2023

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1216 STATE STREET SUITE 500, SANTA BARBARA, CA 93101
Registered with this firm since 9/29/2023

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1216 STATE STREET SUITE 500, SANTA BARBARA, CA 93101
Registered with this firm since 9/29/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/28/2014 - 10/10/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) SANTA BARBARA, CA
B
03/28/2014 - 10/10/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) SANTA BARBARA, CA
IA
07/01/2003 - 04/02/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) SANTA BARBARA, CA
B
07/01/2003 - 04/02/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) SANTA BARBARA, CA
IA
11/25/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SAN FRANCISCO, CA
B
11/25/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
IA
11/25/1994 - 11/26/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN FRANCISCO, CA
B
11/25/1994 - 11/26/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
02/14/1989 - 12/01/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.