Abu B M Farukh

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-06-13
CA	RA	APPROVED	2012-03-02

TX RA
APPROVED_RES

Since 2012-06-13
CA RA
APPROVED

Since 2012-03-02

Branch Locations

San Francisco, CA • United States

101 California Street Suite 4500, San Francisco, CA 94111 • United States

2999 Oak Road Suite 1030, Walnut Creek, CA 94597 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	San Francisco	CA	02/2012	Present

02/2012 → Present

Raymond James & Associates, Inc.

San Francisco, CA

Previous Registrations

2009-06-01 → 2012-01-10

Morgan Stanley

Pleasanton, CA
2005-05-09 → 2009-06-01

Citigroup Global Markets Inc.

Pleasanton, CA

Pleasanton, CA
1997-07-08 → 2005-05-09

Morgan Stanley Dw Inc.

Fremont, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1980-03-27

S63 Uniform Securities Agent State Law Examination

1980-03-27