Robert Roger Malcolm IV
Investment Adviser Representative at Mariner Independent
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Robert Roger Malcolm IV is an investment adviser representative with Mariner Independent in Carnegie, PA, where they have been registered since 2025. They have worked in the securities industry since 1993 and have been registered with 6 firms, including Commonwealth Financial Network and LPL Financial LLC. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Pennsylvania.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Pennsylvania
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL Financial LLCNov 2010 – Nov 2021Canonsburg, PA
- Commonwealth Financial NetworkNov 2021 – Jul 2023Waltham, MA
- Focus4FinancialNov 2021 – Jun 2023Carnegie, PA
- Commonwealth Financial NetworkJul 2023 – Oct 2025Waltham, MA
- Strategic Path RetirementJul 2023 – no end date reportedCarnegie, PA
- Mariner Platform SolutionsOct 2025 – no end date reportedOverland Park, KS
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Mariner Independent
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 115
- Offices listed on AdvisorFinder:
- 40
- Main office:
- Overland Park, KS
- SEC file number:
- 801-117332
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Mariner Independent
Showing 12 of 115 in the directory
Similar advisors in Carnegie, PA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Robert Roger Malcolm IV has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched