Rasik ShahCRD Number: 1404927
Current Firm: Raymond James Financial Services Advisors, Inc.
Rasik Shah (CRD# 1404927) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in San Juan Capistrano, CA and has over 31 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Rs Crum Inc.
Rs Crum Inc.
|Raymond James Financial Services Advisors, Inc.||San Juan Capistrano, CA||Feb 2009 - Current||8|
|Raymond James Financial Services||San Juan Capistrano, CA||Jan 2009 - Current||8|
|Ubs Financial Services Inc.||Mission Viejo, CA||Jul 1996 - Dec 2008||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1985|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV