Alicia K. Malik
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.
Alicia K Malik, who also goes by Alicia K Bennett, was a registered financial professional .
Alicia is a previously registered financial professional and started their career in finance in 2007. Alicia had worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2016 - May 8, 2023
ENVESTNET PMC
August 26, 2009 - June 19, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 26, 2009 - June 19, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - September 4, 2009
MORGAN STANLEY
June 1, 2009 - September 4, 2009
MORGAN STANLEY
July 11, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
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
Current Firm
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,021,610 |
| AUM (Assets Under Management) | $ 532,197,263,852 |
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.
