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75 2Nd Avenue Suite 410, Needham, MA 02494 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2019-08-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Boston | MA | 12/2015 | 07/2018 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 09/2016 | 07/2018 |
| Raymond James & Associates, Inc | Boston | MA | 07/2018 | 07/2019 |
| Leigh Baldwin & Co., Llc | Cazenovia | NY | 07/2019 | Present |
| Commons Capital Advisors, Llc | Boston | MA | 08/2019 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-21 |
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