Rasik Shah, financial advisor San Juan Capistrano CA
58 score

Rasik Shah

CRD 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.

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Company Name Location Dates Years
Raymond James Financial Services Advisors, Inc. San Juan Capistrano, CA Feb 2009 - Current 7
Raymond James Financial Services San Juan Capistrano, CA Jan 2009 - Current 7
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Rasik K. Shah
Phone Number: 727-567-5877
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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

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BADGES
58

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