Malik A. Smith

COMMONS CAPITAL

Needham, MA 02494

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CRD#: 5068263

Professional summary

Malik A Smith, who also goes by Malik A Smith-barnes, is a registered financial advisor currently at COMMONS CAPITAL, LLC located in Needham, Massachusetts and LEIGH BALDWIN & CO., LLC located in Needham, Massachusetts.

Malik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Malik has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Malik A Smith-Barnes

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.

1. MALIK SMTH IS DUALLY-REGISTERED WITH COMMONS CAPITAL ADVISORS, LLC AND LEIGH BALDWIN & CO., LLC. MALIK SMTH HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR COMMONS CAPITAL ADVISORS, LLC AND A REGISTERED REPRESENTATIVE WITH LEIGH BALDWIN & CO., LLC SINCE 07/2019. BUSINESS IS CONDUCTED FROM BOSTON, MA. APPROXIMATELY 90% OF MALIK SMTH'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE AND THE BALANCE AS A REGISTERED REPRESENTATIVE. 2. 2017: Board Member and Treasurer of the Urban League of Eastern Massachusetts; 4 hrs/month during non trading hours; non investment related; no ownership.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malik A Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 21, 2019 - Present

COMMONS CAPITAL, LLC

Office #1: 254 Second Avenue Suite 130, Needham, MA 02494

RIA

CRD#: 165738

Needham, MA

Current

July 29, 2019 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 254 2nd Ave Suite 130, Needham, MA 02494

RIA

CRD#: 38751

Needham, MA

Past

July 23, 2018 - June 4, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Boston, MA

Past

July 16, 2018 - June 4, 2019

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Boston, MA

Past

March 8, 2016 - July 17, 2018

MORGAN STANLEY

RIA

CRD#: 149777

BOSTON, MA

Past

February 24, 2016 - July 17, 2018

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

June 28, 2013 - July 1, 2013

MUTUAL SECURITIES, INC.

CRD#: 13092

NEEDHAM, MA

Past

December 22, 2010 - December 11, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

June 10, 2009 - December 11, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

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".

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(7/29/2019)

IAR

Massachusetts
(8/21/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/21/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/30/2016

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/24/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 Terminated)

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Contact information

Main Address

254 Second Avenue Suite 130, Needham, MA 02494

Mailing Address

Phone number

(617) 431-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMMONS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/18/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 246,061,209

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.

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Firm Stability Insights

Malik A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malik A Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

MUTUAL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COMMONS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2016

SIE

Date: 10/1/2018

Series 31

Date: 8/30/2016

Series 7

Date: 2/24/2016

FINRA

Current Firm

COMMONS CAPITAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMMONS CAPITAL, LLC

TRUST BUT VERIFY

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