Rizwan A. Raja
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rizwan Ahmed Raja was a registered financial professional .
Rizwan is a previously registered financial professional and started their career in finance in 1991. Rizwan had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2015 - June 29, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 19, 2006 - December 18, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 7, 1995 - October 17, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 24, 1995 - July 27, 1995
CHEMICAL INVESTMENT SERVICES CORP.
March 7, 1995 - May 1, 1995
CONSECO SECURITIES, INC.
February 24, 1995 - May 1, 1995
CHEMICAL INVESTOR SERVICES, INC.
April 29, 1994 - February 22, 1995
ESSEX NATIONAL SECURITIES, LLC
December 4, 1992 - May 3, 1994
SEI INVESTMENTS DISTRIBUTION CO.
December 4, 1991 - November 10, 1992
IDS LIFE INSURANCE COMPANY
December 4, 1991 - November 10, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
