Rasheem L. Banks

SAN LUIS WEALTH ADVISORS | Financial Consultant

San Luis Obispo, CA 93401

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CRD#: 6095912

Professional summary

Rasheem Lamonte Banks, CFP® is a registered financial advisor currently at SAN LUIS WEALTH ADVISORS located in San Luis Obispo, California.

Rasheem is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Rasheem has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

As a Certified Financial Planner and after holding various roles in the Financial Services Industry, I am committed to partnering with clients to help them clarify, and priortize their specific financial goals in an effort to reach overall financial health.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rasheem Lamonte Banks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Education

University of Connecticut

Bachelor of Business Administration - Finance

2010

Experience

Current

April 4, 2024 - Present

SAN LUIS WEALTH ADVISORS

Office #1: 735 Tank Farm Road Suite 264, San Luis Obispo, CA 93401

RIA

CRD#: 309506

San Luis Obispo, CA

Past

July 13, 2018 - April 2, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

February 25, 2014 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SANTA MONICA, CA

Past

November 19, 2013 - April 2, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HINGHAM, MA

Past

September 18, 2012 - October 23, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAN LUIS WEALTH ADVISORS

SAN LUIS WEALTH ADVISORS | SLWA, LLC

CRD#: 309506 / SEC#: 801-119019

RIA

Registered Investment Advisory firm - (7/13/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/4/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/10/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2012

General Securities Representative Examination

Current Firm

SAN LUIS WEALTH ADVISORS

SAN LUIS WEALTH ADVISORS | SLWA, LLC

CRD#: 309506 / SEC#: 801-119019

RIA

Registered Investment Advisory firm - (7/13/2020 Approved)

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Contact information

Main Address

735 Tank Farm Road Suite 264, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 810-0002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,364
AUM (Assets Under Management)	$ 705,518,005

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Rasheem L. Banks

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rasheem Lamonte Banks's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Connecticut

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SAN LUIS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2014

Series 63

Date: 10/29/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2012

Current Firm

SAN LUIS WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAN LUIS WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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