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Sara Qazi

Raymond James & Associates, INC.
24 Years of Experience
Los Angeles, CA
5 DisclosuresBroker
View SEC Summary
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Sara Qazi is a registered investment advisor at Raymond James & Associates, INC., based in Los Angeles, CA, with 24 years of industry experience. Sara is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10250 Constellation Blvd, Ste 850, Los Angeles, CA, 90067

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2024
Final
Regulatory
January 2024
Final
Regulatory
November 2023
Final
Employment Separation After Allegations
March 2021
Customer Dispute
April 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Sara is the owner/proprietor of Mira Costa LLC, established with her husband to hold real property and private investments, dedicating minimal time. She is also a partner in a startup urban agriculture business called Urban Terra, spending minimal time on it.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
March 2021 - Present · 5 yrs 7 mos
Raymond James & Associates, INC.
March 2021 - Present · 5 yrs 7 mos
Raymond James & Associates, INC.
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Morgan Stanley
September 2009 - March 2021 · 11 yrs 6 mos
Morgan StanleyBroker
September 2009 - March 2021 · 11 yrs 6 mos
UBS Financial Services INC.
February 2006 - September 2009 · 3 yrs 7 mos
UBS Financial Services INC.Broker
February 2006 - September 2009 · 3 yrs 7 mos
Credit Suisse First Boston LLCBroker
January 2003 - August 2004 · 1 yr 7 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
August 2000 - January 2003 · 2 yrs 5 mos
State Registrations15 states
CACOCTILINMNNCNMNVNYORPATNTXWI
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.
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