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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Muna Malik

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROSENBERG, TX | SUGAR LAND, TX

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Search this name across graphsid dfx:ria:359d2442-5afe-cb01-a96e-ca2b10b8d6bf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 7, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 7, 2001
First registration: Nov 6, 2008
Dual registered: yes, broker-dealer
Other names: MUNA MALIK RAFIQ
IAPD individual key: 4442671

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 3, 2023	n/a	yes	SUGAR LAND, TX\|ROSENBERG, TX	Current employment
TLG ADVISORS, INC.	Bd affiliated wealth	Dec 18, 2020	Sep 20, 2021	no	SUMMIT, NJ\|Katy, TX	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 22, 2018	Mar 29, 2019	no	HOUSTON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 6, 2014	Mar 11, 2016	no	SUGAR LAND, TX\|SUGARLAND, TX\|KATY, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Nov 6, 2008	Jul 28, 2009	no	Houston, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TLG ADVISORS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 20, 2021	Jan 3, 2023	470	Firm change after gap	Ibd to wirehouse
PRUCO SECURITIES, LLC	TLG ADVISORS, INC.	Mar 29, 2019	Dec 18, 2020	630	Firm change after gap	Ibd to ibd
J.P. MORGAN SECURITIES LLC	PRUCO SECURITIES, LLC	Mar 11, 2016	Mar 22, 2018	741	Firm change after gap	Wirehouse to ibd
MML INVESTORS SERVICES, LLC	J.P. MORGAN SECURITIES LLC	Jul 28, 2009	Jan 6, 2014	1,623	Firm change after gap	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jan 3, 2023 to presentfactForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Dec 18, 2020 to Sep 20, 2021factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 22, 2018 to Mar 29, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 6, 2014 to Mar 11, 2016factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Nov 6, 2008 to Jul 28, 2009factForm ADV

Dated events

No dated event names this entity yet.