Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Faisal? Claim Your ProfileFaisal Raza is a financial advisor currently associated with Stifel, Nicolaus & Company, Inc., based in Dallas, Texas. Faisal has been in the industry since 2005 and has a wide range of experience in providing financial advice. Faisal holds the Series 7, Series 63, and Series 66 licenses. Faisal is also registered with the state of Texas as an investment advisor representative.
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.
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
TX
10/28/2020 - Present
Stifel, Nicolaus & Company, Inc. (DALLAS TX)
TX
11/10/2017 - 10/29/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
08/14/2015 - 11/02/2017
MORGAN STANLEY (PLANO TX)
NY
06/13/2005 - 09/19/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
06/07/2005 - 06/16/2005
MCGINN, SMITH & CO., INC. (ALBANY NY)
NY
03/09/2005 - 04/20/2005
EHRENKRANTZ KING NUSSBAUM, INC. (MELVILLE NY)
BOTH
Issued 09/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/24/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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