RS
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Rasik Shah
40 Years of Experience
Santa Ana, CA
2 DisclosuresBroker
Rasik Shah is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Santa Ana, CA, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
225 Memory Lane, Santa Ana, CA, 92705
Get directionsHistory
Regulatory History (2)
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Employment Separation After Allegations
December 2008Customer Dispute
June 2000Settled
Other Business Activities
Rasik is a registered associate/employee at Ketchum Investment Mgmt Co Inc since 2020. This takes about half of his time and occurs during trading hours.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
February 2009 - Present · 17 yrs 3 mos
Raymond James Financial Services, INC.Broker
January 2009 - Present · 17 yrs 4 mos
Previous Registrations
UBS Financial Services INC.
July 1997 - January 2009 · 11 yrs 6 mos
UBS Financial Services INC.Broker
July 1996 - January 2009 · 12 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1985 - July 1996 · 10 yrs 10 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.