Articles Tagged with Andrew Mallardi

Published on:

Andrew MallardiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2018 indicate that New Jersey-based TD Ameritrade broker/adviser Andrew Mallardi is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mallardi (CRD# 4827218).

Andrew Mallardi has spent 12 years in the securities industry and has been registered with TD Ameritrade in Morristown, New Jersey since 2009. Previous registrations include Oppenheimer & Company in New York, New York (2008-2009); Spencer Trask Ventures in New York, New York (2007-2008); Neuberger Berman LLC in New York, New York (2005-2007); and Brookstreet Securities Corporation in San Juan Capistrano, California. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 8, 2005; Series 7 (General Securities Representative Examination), which he obtained on March 29, 2005; and Series 24 (General Securities Principal Examination), which he obtained on June 21, 2017. He is a registered broker and investment adviser with nine US states and territories: Alaska, Connecticut, Delaware, Florida, Iowa, New Jersey, New York, Pennsylvania and Texas. He is registered with one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he has received one pending customer complaint.