Malik T. Murray
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Malik Todd Murray was a registered financial professional .
Malik is a previously registered financial professional and started their career in finance in 1999. Malik had worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2006 - April 24, 2025
ARIEL INVESTMENTS, LLC
December 7, 2004 - April 24, 2025
ARIEL DISTRIBUTORS, LLC
October 15, 2004 - December 9, 2004
EQUITABLE ADVISORS, LLC
March 26, 2001 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
August 12, 1999 - September 24, 2001
BANC ONE BROKERAGE INTERNATIONAL CORPORATION
Primary Firm SEC Registration
ARIEL INVESTMENTS, LLC
CRD#: 108211 / SEC#: 801-18767
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ARIEL INVESTMENTS, LLC
CRD#: 108211 / SEC#: 801-18767
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 12,369,706,772 |
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.
