JM
Jay Malik
WEALTH MANAGEMENT
Fort Lauderdale, FL
Some features on this profile are disabled
CRD#: 2805493
JM
Professional summary
Jay Malik, who also goes by Javed Akhtar Malik, Jay Akhtar Malik, is a registered financial advisor currently at WEALTH MANAGEMENT located in Fort Lauderdale, Florida.
Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Jay has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Javed Akhtar Malik | Jay Akhtar Malik
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Doctors Finance LLC - not investment related - 11820 Miramar Pkwy Suite 217, Miramar, FL 33025 - Accounting and Consulting Firm - Owner - 2010 - Approx. 40 hours monthly/Approx. 40 hours monthly during securities trading hours - accounting work for clients such as bookkeeping, payroll and taxes. Insurance Agent - not investment related - 11820 Miramar Pkwy Suite 217, Miramar, FL 33025- Fixed insurance sales - independent insurance agent - Approx. 2 hours monthly/Approx. 2 hours during securities trading hours monthly - sales of fixed insurance. Jay Malik Tax Corp - not investment related - corp - 11820 Miramar Pkwy Suite 217, Miramar, FL 33025 - Income Tax Preparation - President - 2006 - Approx. 5 hours monthly/Approx. 5 hours monthly during securities trading hours - preparing tax returns. Grace Aspel LLC - not investment related - llc - 5300 NE 24th Ter Apt 328 Fort Lauderdale, FL 33308 - Real Estate - Member - 2020 - Approx. 1 hours monthly/Approx. 0 hours monthly during securities trading hours - real estate investments
CRS (Client Relationship Summary) - RIA
Click below to view Jay Malik's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 15, 2011 - Present
WEALTH MANAGEMENT
Office #3: 9900 W Sample Rd Suite 315, Coral Springs, FL 33065RIA
CRD#: 137080
Fort Lauderdale, FL
Past
May 20, 1997 - March 11, 1998
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
October 29, 1996 - February 4, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 29, 1996 - February 4, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEALTH MANAGEMENT
WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT
CRD#: 137080 / SEC#: 801-65977
RIA
Registered Investment Advisory firm - (2/17/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(3/28/2019)
IAR
Pennsylvania(11/15/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
WEALTH MANAGEMENT
WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT
CRD#: 137080 / SEC#: 801-65977
RIA
Registered Investment Advisory firm - (2/17/2006 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
125 South 4th Street, Norfolk, NE 68701
Mailing Address
Po Box 1264, Norfolk, NE 68702-1264
Phone number
(402) 371-1160
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,617 |
| AUM (Assets Under Management) | $ 3,100,744,962 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
