Ryan Malloch has been Partner and Chief Compliance Officer of M1 Capital Management since January 2021, is a control person of the firm and directly owns under 5% of it.
M1 Capital Management is a Troy, MI firm with $450M under management, 403 clients and 6 advisers across 2 offices, as of its March 2026 filing.
Ryan Malloch’s longest registration was 17 years at Cetera Advisors LLC (2006–2024). Before joining M1 Capital Management in 2021, Ryan Malloch was registered through Cetera Advisors LLC and United Securities Alliance, Inc.
- Third Sigma Investment Advisors LLCAlso current– present · 2 yearsTroy, MI · Adviser representative · Firm CRD 151188
- Cetera Investment Advisers LLC– · under a yearNovi, MI · Adviser representative · Firm CRD 105644
- Cetera Advisors LLC– · 17 yearsNovi, MI · Adviser representative · Firm CRD 10299
- United Securities Alliance, Inc.– · 1 yearAuburn Hills, MI · Adviser representative · Firm CRD 36487
Investment adviser representative registrations
Ryan Malloch is registered as an investment adviser representative in Michigan, since January 2021.
- MichiganSince 20 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 30 June 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 March 2005 |
| Series 66 | Uniform Combined State Law Examination | 25 July 2000 |
| Series 7 | General Securities Representative Examination | 12 July 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Ryan L Malloch
- CRD
- 4017541
- Firm
- M1 Capital Management · CRD 158269
- Role
- Partner and Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- September 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Ryan Malloch work?
Ryan Malloch has been Partner and Chief Compliance Officer of M1 Capital Management since January 2021, and is a control person of the firm.
Is Ryan Malloch a financial advisor?
Yes. Ryan Malloch has a current investment-adviser registration in Michigan, through M1 Capital Management since January 2021.
How many years of experience does Ryan Malloch have?
Ryan Malloch has 26 years in the financial industry, since September 2000, across 5 adviser firms.
What exams has Ryan Malloch passed?
Ryan Malloch has passed 4 licensing exams: the Series 7, Series 66, Series 65 and Series 24. The earliest, the Series 7, was passed in July 2000. FINRA credited Ryan Malloch with the SIE, which began in October 2018.
Where did Ryan Malloch work before M1 Capital Management?
Before M1 Capital Management, Ryan Malloch was registered through United Securities Alliance, Inc., March 2005 to October 2006.
Is Ryan Malloch registered with FINRA?
No. Ryan Malloch has no current broker registration.
How can I verify Ryan Malloch’s record?
Search CRD 4017541 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ryan Malloch’s full registration record.