SR
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Shaan Raja
12 Years of Experience
San Rafael, CA
2 DisclosuresBroker
Shaan Raja is a registered investment advisor at Wells Fargo Advisors, based in San Rafael, CA, with 12 years of industry experience. Shaan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
1203 4th St, San Rafael, CA, 94901
Get directionsHistory
Regulatory History (2)
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.
Customer Dispute
June 2022Denied
Customer Dispute
December 2018Denied
Employment History
Current Registrations
Wells Fargo Advisors
August 2023 - Present · 3 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
August 2023 - Present · 3 yrs 2 mos
Previous Registrations
J.P. Morgan Securities LLC
March 2016 - August 2023 · 7 yrs 5 mos
J.P. Morgan Securities LLCBroker
March 2016 - August 2023 · 7 yrs 5 mos
Morgan Stanley
January 2014 - March 2016 · 2 yrs 2 mos
Morgan StanleyBroker
December 2013 - March 2016 · 2 yrs 3 mos
State Registrations17 states
AZCACOGAHIIDKSMAMIMTNVORTXUTVAVTWA
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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