Muna Malik

CRD 4442671 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Sugar Land, TX

IA RegisteredBroker

Also appears in the source record as: Muna Malik Rafiq

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (7): Arkansas · Colorado · Florida · Louisiana · New Mexico · Oklahoma · Texas
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sugar Land, TX · IA capacity

Jan 3, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sugar Land, TX · BC capacity

start not retrieved → present
The Leaders Group, Inc.
BD capacity

Dec 18, 2020 → Sep 20, 2021
Tlg Advisors, Inc.
IA capacity

Dec 18, 2020 → Sep 20, 2021
Prudential Financial Planning Services
IA capacity

Mar 22, 2018 → Mar 29, 2019
Pruco Securities, LLC.
BD capacity

Feb 13, 2018 → Mar 29, 2019
J.P. Morgan Securities LLC
IA capacity

Jan 6, 2014 → Mar 11, 2016
J.P. Morgan Securities LLC
BD capacity

Dec 9, 2013 → Mar 11, 2016
Mml Investors Services, LLC
BD capacity

Jun 27, 2011 → Mar 19, 2012
Mml Investors Services, Inc.
IA capacity

Nov 6, 2008 → Jul 28, 2009
Mml Investors Services, Inc.
BD capacity

Aug 15, 2008 → Jul 28, 2009
Qa3 Financial Corp.
BD capacity

May 4, 2005 → Jul 24, 2006
Wachovia Securities, LLC
BD capacity

Dec 4, 2001 → Feb 7, 2005

Source & corrections

Where this page comes from

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