AF
AF
Abu Farukh
45 Years of Experience
San Francisco, CA
4 DisclosuresBroker
Abu Farukh is a registered investment advisor at Raymond James & Associates, INC., based in San Francisco, CA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
San Francisco, CA
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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 2011Customer Dispute
June 2006Denied
Customer Dispute
February 2001Denied
Customer Dispute
July 1990Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
March 2012 - Present · 14 yrs 2 mos
Raymond James & Associates, INC.
March 2012 - Present · 14 yrs 2 mos
Raymond James & Associates, INC.
March 2012 - Present · 14 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
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 Registrations22 states
ALAZCACODCFLGAILMDMINCNJNMNVNYOHORSDTXVAWAWY
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.