Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Brendan Malone
BRENDAN JOHN MALONE
CRD#: 5411551
IA
Investment Adviser
B
Previous Broker
GREENROCK RESEARCH, INC.CRD#: 131825 444 W. LAKE ST.
SUITE 1700
CHICAGO, IL 60606
Registration History
2010201220142016201820202022202420262 FIRMS2014 - 2020 (5 years)IAGREENROCK RESEARCH, INC. (CRD# 131825)2023 - Present (2 years)BHUNTINGTON SECURITIES, INC. (CRD# 2261)2020 - 2022 (1 year)BB. C. ZIEGLER AND COMPANY (CRD# 61)2010 - 2014 (4 years)IAB. C. ZIEGLER AND COMPANY (CRD# 61)2012 - 2014 (2 years)
License(s)

State Registrations

IA
Illinois 1/20/2023
Current Registration(s)
IA
GREENROCK RESEARCH, INC. (CRD#:131825)
444 W. LAKE ST. SUITE 1700, CHICAGO, IL 60606
Registered with this firm since 1/20/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/18/2020 - 07/18/2022 HUNTINGTON SECURITIES, INC. (CRD#:2261) CHICAGO, IL
IA
 12/05/2014 - 08/03/2020 BB&T SECURITIES, LLC (CRD#:142785) CHICAGO, IL
B
 12/05/2014 - 08/03/2020 BB&T SECURITIES, LLC (CRD#:142785) CHICAGO, IL
IA
 01/24/2012 - 11/20/2014 B. C. ZIEGLER AND COMPANY (CRD#:61) CHICAGO, IL
B
 05/18/2010 - 11/20/2014 B. C. ZIEGLER AND COMPANY (CRD#:61) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.