Faisal D. Khan
Professional summary
Faisal David Khan, who also goes by Faisal D Khan, Faisal Khan, is a registered financial advisor currently at SOUTHWESTERN MONEY MANAGEMENT LLC located in San Antonio, Texas.
Faisal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Faisal has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Faisal David Khan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2019 - Present
SOUTHWESTERN MONEY MANAGEMENT LLC
Office #1: 17802 Ih 10 West Suite 400, San Antonio, TX 78257October 5, 2009 - February 11, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 11, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 24, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 26, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 19, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
SOUTHWESTERN MONEY MANAGEMENT LLC
CRD#: 304033 / SEC#: 801-117271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/10/2019)
Exams
Current Firm
SOUTHWESTERN MONEY MANAGEMENT LLC
CRD#: 304033 / SEC#: 801-117271
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 45,378,676 |
Red Flags
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