Faisal Raza
Faisal Raza is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Dallas, TX, with 10 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
2850 North Harwood, 18th Floor, Dallas, TX, 75201
Get directionsHistory
Regulatory History (2)
Judgment / Lien
August 2024Employment Separation After Allegations
October 2020Other Business Activities
Faisal is the managing member of Pakam FW LLC, an investment holding vehicle, and is responsible for tax filing and LLC management. This activity requires minimal time and is investment-related.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Morgan Stanley
Morgan StanleyBroker
Oppenheimer & CO. INC.Broker
Mcginn, Smith & CO., INC.Broker
Ehrenkrantz King Nussbaum, INC.Broker
State Registrations23 states
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.