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Raheel Hirji

CRD# 5946491·Registered 2015 - 2018
Previously Registered: Being a previously registered professional could mean that Raheel 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.

Professional Summary

Raheel Hirji, who also goes by Raheel Nagib Hirji, Raheel Hirji, was a registered financial advisor. Raheel was a previously registered financial professional and started their career in finance 2015 - 2018. Raheel had worked at 3 firms and has passed the Series 66, SIE, Series 50, Series 52 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Raheel Nagib Hirji, Raheel Hirji

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

11 years in the financial services industry

Current & Past Employments

Past

GEORGE K. BAUM & COMPANYPast·CRD# 36354
BD
Albuquerque, NM
November 30, 2015 - July 30, 2018
THORNBURG INVESTMENT MANAGEMENT INCPast·CRD# 106357
RIA
Santa Fe, NM
April 2, 2015 - November 18, 2015
THORNBURG SECURITIES LLCPast·CRD# 14857
BD
Santa Fe, NM
February 9, 2015 - November 18, 2015

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Current Firm

GK
GEORGE K. BAUM & COMPANY

GEORGE K. BAUM & COMPANY | GKB ACQUISITION CO.

CRD#: 36354 / SEC#: 8-47195
BD
Terminated by SEC on 12/31/2019

Contact Information

Established

Missouri since 12/16/1993

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGE K. BAUM HOLDINGS, INC.PARENT—
BAUM, JONATHAN EDWARDDIRECTOR/CEO/PRESIDENT1492485
BJORNSON, DANA LLOYDDIRECTOR/CFO/CCO3112986
QUATROCHI, NICHOLAS JOSEPHDIRECTOR/EVP/CHISO/CIO/FINOP2463410

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2015About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2018About the SIE exam

Series 50 — Municipal Advisor Representative Qualification Exam

Passed Mar 2017About the Series 50 exam

Series 52 — Municipal Securities Representative Examination

Passed Jan 2016About the Series 52 exam

Series 7 — General Securities Representative Examination

Passed Feb 2015About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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