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Usma Ara Malik

Capital Client Group, Inc.

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About Usma Ara Malik

Usma Malik is a registered investment advisor representative with Capital Client Group, Inc. Usma is also an investment advisor representative in the state of California. Usma has been in the industry since July 2004 and has passed the Series 7, Series 66 and SIE exams. Usma has been with Capital Group / American Funds Distributors, Inc. since November 2022.

Firm Information

Usma Malik is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

As agreed upon in a manner that covers registrant's costs

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Usma Malik’s Registration & Firm History

CA

02/24/2023 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

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Licenses & Designations

BOTH

Issued 02/24/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/27/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/17/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Usma Ara Malik.
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