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FRANCISCO MALFAVON JR
FRANCISCO MALFAVON, FRANCISCO MALFAVON FIGUEROA
CRD#: 5116125
IA
Investment Adviser
B
Broker
MONEX ASSET MANAGEMENT, INC.CRD#: 148123 350 10TH AVENUE
SUITE 1000
SAN DIEGO, CA 92101
MONEX SECURITIES, INC.CRD#: 30362 350 10TH AVENUE
SUITE 1054
SAN DIEGO, CA 92101
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
11/30/2020
Financial
Final
3/4/2016
Customer Dispute
Settled
9/19/2015
Customer Dispute
Denied
License(s)

State Registrations

B
California 9/11/2017

IA
California 3/8/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MONEX ASSET MANAGEMENT, INC. (CRD#:148123)
350 10TH AVENUE SUITE 1000, SAN DIEGO, CA 92101
Registered with this firm since 9/11/2017

B
MONEX SECURITIES, INC. (CRD#:30362)
350 10TH AVENUE SUITE 1054, SAN DIEGO, CA 92101
Registered with this firm since 9/8/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/23/2017 - 06/28/2017 SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299) SAN DIEGO, CA
B
01/23/2017 - 06/28/2017 SNOWDEN ACCOUNT SERVICES LLC (CRD#:149794) San Diego, CA
IA
07/22/2010 - 01/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LA JOLLA, CA
B
07/21/2010 - 01/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LA JOLLA, CA
IA
07/03/2007 - 07/22/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LA JOLLA, CA
B
04/18/2007 - 07/22/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LA JOLLA, CA
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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.