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FAISAL RAZA
Faisal R Bhatti, RAZA
CRD#: 4814166
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2850 NORTH HARWOOD
18TH FLOOR
DALLAS, TX 75201
Registration History
200620082010201220142016201820202022202420263 FIRMS2005 - 2005 (<1 year)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - Present (4 years)
Disclosure(s)
View By:
8/29/2024
Judgment / Lien
10/28/2020
Employment Separation After Allegations
3/15/2016
Financial
Final
License(s)

State Registrations

B
Alaska 10/29/2020

B
New Jersey 10/28/2020

B
Arizona 1/14/2021

B
New York 10/28/2020

B
California 10/28/2020

B
Ohio 10/28/2020

B
Colorado 10/28/2020

B
Oregon 3/9/2021

B
Florida 10/28/2020

B
South Carolina 11/16/2020

B
Georgia 10/28/2020

B
Texas 10/28/2020

B
Idaho 9/5/2023

IA
Texas 10/28/2020

B
Illinois 10/28/2020

B
Utah 11/30/2021

B
Louisiana 11/17/2020

B
Virginia 10/28/2020

B
Maryland 9/13/2022

B
Washington 10/28/2020

B
Minnesota 3/3/2022

B
Wisconsin 12/10/2020

B
Mississippi 11/16/2020

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 10/28/2020

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 10/28/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/10/2017 - 10/29/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
11/10/2017 - 10/29/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
IA
09/11/2015 - 11/02/2017 MORGAN STANLEY (CRD#:149777) PLANO, TX
B
08/14/2015 - 11/02/2017 MORGAN STANLEY (CRD#:149777) PLANO, TX
B
06/13/2005 - 09/19/2005 OPPENHEIMER & CO. INC. (CRD#:249) NEW YORK, NY
B
06/07/2005 - 06/16/2005 MCGINN, SMITH & CO., INC. (CRD#:8453)
FINRA expelled the firm on 08/13/2010
ALBANY, NY
B
03/09/2005 - 04/20/2005 EHRENKRANTZ KING NUSSBAUM, INC. (CRD#:113525)
FINRA expelled the firm on 10/12/2012
MELVILLE, NY
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.