Arzoo Ishaq I. Mulla

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CRD#: 7537187

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.

Arzoo Ishaq I Mulla, who also goes by Arzoo I Mulla, was a registered financial professional .

Arzoo Ishaq is a previously registered financial professional and started their career in finance in 2022. Arzoo Ishaq had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Arzoo I Mulla

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.

I am a board member at my alma mater, Lenoir Rhyne University, Board of Directors Alumni Association. This is not an investment related business, address is 625 7th Ave NE, Hickory, NC 28601, it is a private university in NC, I am a volunteer board member since JUNE 2021, I devote 1 hour per month to this activity, my duties involve hosting events to encourage social engagements among alumni.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 5, 2024 - October 22, 2025

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

October 30, 2024 - October 22, 2025

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

May 15, 2023 - November 2, 2023

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

October 17, 2022 - November 2, 2023

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

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".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/13/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/16/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/11/2022

Securities Industry Essentials Examination

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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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Advisor Monitoring

Firm Stability Insights

Arzoo Ishaq I. Mulla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THORNBURG SECURITIES LLC

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2023

Series 63

Date: 11/20/2022

Series 7TO

Date: 10/16/2022

SIE

Date: 9/11/2022

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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