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ABU B M FARUKH
CRD#: 705171
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 101 California Street
Suite 4500
San Francisco, CA 94111
Registration History
19801985199019952000200520102015202020252 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BMORGAN STANLEY DW INC. (CRD# 7556)1980 - 2005 (25 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2005 (7 years)
Disclosure(s)
View By:
12/12/2011
Employment Separation After Allegations
6/13/2006
Customer Dispute
Denied
2/28/2001
Customer Dispute
Denied
7/6/1990
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/20/2013

B
New Jersey 7/11/2012

B
Arizona 7/25/2012

B
New Mexico 2/27/2018

IA
California 3/2/2012

B
New York 10/10/2013

B
California 3/5/2012

B
North Carolina 8/28/2018

B
Colorado 9/4/2014

B
Ohio 11/4/2021

B
District of Columbia 5/23/2017

B
Oregon 7/11/2012

B
Florida 7/19/2012

B
South Dakota 3/20/2018

B
Georgia 7/3/2012

B
Texas 3/15/2012

B
Illinois 11/23/2016

IA
Texas 6/13/2012

B
Maryland 3/8/2012

B
Virginia 9/10/2020

B
Michigan 11/21/2022

B
Washington 4/1/2019

B
Nevada 7/25/2012

B
Wyoming 3/10/2015

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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)
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
101 California Street Suite 4500, San Francisco, CA 94111
San Francisco, CA
Registered with this firm since 3/5/2012

IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
101 California Street Suite 4500, San Francisco, CA 94111
San Francisco, CA
Registered with this firm since 3/2/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 01/10/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PLEASANTON, CA
B
06/01/2009 - 01/10/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PLEASANTON, CA
IA
05/09/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PLEASANTON, CA
B
05/09/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PLEASANTON, CA
IA
07/08/1997 - 05/09/2005 MORGAN STANLEY (CRD#:7556) FREMONT, CA
B
02/22/1980 - 05/09/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
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.