MM
Madhuvanti Mali
STRATEGIC ADVISERS LLC
RIVERSIDE, CA
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CRD#: 6299158
MM
Professional summary
Madhuvanti Mali, who also goes by Madhuvanti Rugnath Makwana, Madhuvanti V Mali, Madhuvanti VIjay Mali, Madhuvanti Mali, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Riverside, California and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Madhuvanti is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Madhuvanti has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Madhuvanti Rugnath Makwana | Madhuvanti V Mali | Madhuvanti Vijay Mali | Madhuvanti Mali
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Madhuvanti Mali'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
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
RIVERSIDE, CA
Current
August 18, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 279 West South Temple, Salt Lake City, UT 84104BD
CRD#: 7784
Salt Lake City, UT
Past
September 8, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
October 3, 2019 - December 20, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
IRVINE, CA
Past
May 14, 2019 - December 20, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
IRVINE, CA
Past
June 2, 2017 - April 16, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CORONA, CA
Past
July 7, 2015 - May 5, 2017
BBVA SECURITIES INC.
BD
CRD#: 27060
CORONA, CA
Past
March 18, 2014 - April 1, 2015
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CORONA, CA
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.RR
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
RR
Alabama(8/18/2021)
RR
Alaska(8/18/2021)
RR
Arizona(8/18/2021)
RR
Arkansas(8/18/2021)
RR
California(8/18/2021)
IAR
California(3/31/2025)
RR
Colorado(8/18/2021)
RR
Connecticut(8/18/2021)
RR
Delaware(8/18/2021)
RR
District of Columbia(8/18/2021)
RR
Florida(8/18/2021)
RR
Georgia(8/18/2021)
RR
Hawaii(8/18/2021)
RR
Idaho(8/18/2021)
RR
Illinois(8/18/2021)
RR
Indiana(8/18/2021)
RR
Iowa(8/18/2021)
RR
Kansas(8/18/2021)
RR
Kentucky(8/18/2021)
RR
Louisiana(8/18/2021)
RR
Maine(8/18/2021)
RR
Maryland(8/18/2021)
RR
Massachusetts(8/18/2021)
RR
Michigan(8/18/2021)
RR
Minnesota(8/18/2021)
RR
Mississippi(8/18/2021)
RR
Missouri(8/18/2021)
RR
Montana(8/18/2021)
RR
Nebraska(8/18/2021)
RR
Nevada(8/18/2021)
RR
New Hampshire(8/18/2021)
RR
New Jersey(8/18/2021)
RR
New Mexico(8/18/2021)
RR
New York(8/18/2021)
RR
North Carolina(8/18/2021)
RR
North Dakota(8/18/2021)
RR
Ohio(8/18/2021)
RR
Oklahoma(8/18/2021)
RR
Oregon(8/18/2021)
RR
Pennsylvania(8/18/2021)
RR
Rhode Island(8/18/2021)
RR
South Carolina(8/18/2021)
RR
South Dakota(8/18/2021)
RR
Tennessee(8/18/2021)
RR
Texas(8/18/2021)
IAR
Texas(3/31/2025)
RR
Utah(8/18/2021)
RR
Vermont(8/18/2021)
RR
Virginia(8/18/2021)
RR
Washington(8/18/2021)
RR
West Virginia(8/18/2021)
RR
Wisconsin(8/18/2021)
RR
Wyoming(8/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
