Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Abu? Claim Your ProfileAbu Farukh is a financial advisor with over 40 years of experience in the industry. Abu has worked at Raymond James & Associates, Inc. since 2012. Prior to that, Abu was with Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Abu has a broad range of experience, including portfolio management for individuals and businesses, financial planning, and pension consulting. Abu is licensed to provide investment advice in multiple states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/13/2012 - Present
Raymond James & Associates, Inc. (San Francisco CA)
CA
06/01/2009 - 01/10/2012
MORGAN STANLEY SMITH BARNEY (PLEASANTON CA)
CA
05/09/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PLEASANTON CA)
NY
02/22/1980 - 05/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 03/27/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 02/16/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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