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AF
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Abu B M Farukh
Raymond James & Associates, INC.
45 Years of Experience
4 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Raymond James & Associates, INC.
Compensation
Commission-Based
Fee-Only (AUM)
Fixed/Hourly
Firm Size
5579 advisors
Number of Clients
507,212 clients
Average Client Portfolio
$855K average
Assets Under Management
$433.8B
Fee Structure
Minimum Investment:
$5K
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Location
101 California Street, Suite 4500, San Francisco, CA, 94111
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History
Regulatory History (4)
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
.
Employment Separation After Allegations
December 2011
Customer Dispute
June 2006
Denied
Customer Dispute
February 2001
Denied
Customer Dispute
July 1990
Settled
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
Broker
March 2012 - Present · 13 yrs 11 mos
Raymond James & Associates, INC.
March 2012 - Present · 13 yrs 11 mos
Raymond James & Associates, INC.
March 2012 - Present · 13 yrs 11 mos
Previous Registrations
Morgan Stanley Smith Barney
Broker
June 2009 - January 2012 · 2 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - January 2012 · 2 yrs 7 mos
Citigroup Global Markets INC.
May 2005 - June 2009 · 4 yrs 1 mo
Citigroup Global Markets INC.
Broker
May 2005 - June 2009 · 4 yrs 1 mo
Morgan Stanley
July 1997 - May 2005 · 7 yrs 10 mos
Morgan Stanley Dw INC.
Broker
February 1980 - May 2005 · 25 yrs 3 mos
State Registrations
22 states
AL
AZ
CA
CO
DC
FL
GA
IL
MD
MI
NC
NJ
NM
NV
NY
OH
OR
SD
TX
VA
WA
WY
Advisor
Broker
Both
Exams
No exam information available for this advisor.