Joan Denise Malloy
Investment adviser representative at Mai Capital Management, LLC
17 yearsExperience
6 statesRegistered in
CFA, CFP® certificationDesignations
$52.1BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feePerformance-basedOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
17 years in the industry.
- Mai Capital Management, LLCNov 2020 to now
- Visionary Wealth AdvisersNov 2015 to Dec 2019
- Managing DirectorJul 2015 to Dec 2019
- The Malloy Group, LLCSep 2009 to Nov 2020
Designations
- CFA
- CFP® certification
Exams passed
- Series 65 · Uniform Investment Adviser Law1998
- Series 63 · Uniform Securities Agent State Law2002
State registrations
Registered as an investment adviser representative in 6 states (FL, IL, IN, MI, MO, TX).
Mai Capital Management, LLC
$52.1BAssets managed
16,261Clients
306Advisers
26 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1988029
- Firm CRD
- 109807