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Farzad Raufi

Strategic Advisers LLC

San Jose, CA

Morgan Hill, CA

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • CA RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

4160 N First St, San Jose, CA 95134-1513 • United States

Morgan Hill, CA • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Gatos CA 11/2016 09/2022
Bank Of America, N.A. Los Gatos CA 11/2016 09/2022
Men'S Warehouse San Jose CA 06/2002 11/2016
Fidelity Investments San Jose CA 09/2022 Present
Fidelity Investments Boston MA 03/2025 Present
  • 11/2016 → 09/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Los Gatos, CA
  • 11/2016 → 09/2022
    Bank Of America, N.A.
    Los Gatos, CA
  • 06/2002 → 11/2016
    Men'S Warehouse
    San Jose, CA
  • 09/2022 → Present
    Fidelity Investments
    San Jose, CA
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2022-12-12 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    San Jose, CA
  • 2018-08-06 → 2022-09-29
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Los Gatos, CA
    Los Gatos, CA
    San Jose, CA
    Los Gatos, CA
    Campbell, CA
    Saratoga, CA
    Campbell, CA
    Capitola, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-03
  • S66 Uniform Combined State Law Examination
    2018-08-03

View on SEC IAPD

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