Ashik A. Kapasi
Professional summary
Ashik Akberali Kapasi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ashik is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Ashik had worked at 4 firms, which includes RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2011 - February 27, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 26, 2011 - February 27, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 7, 2004 - June 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2004 - June 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2001 - July 2, 2004
MORGAN STANLEY DW INC.
July 17, 2001 - July 2, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
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