Joshua A. Farahi
Professional summary
Joshua Allen Farahi is a registered financial advisor currently at OPES CAPITAL GROUP, LLC located in Los Angeles, California.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joshua has worked at 3 firms and has passed the Series 66, Series 3, Series 55, Series 7, Series 28, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Allen Farahi's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2013 - Present
OPES CAPITAL GROUP, LLC
Office #1: 1530 East 25th Street, Los Angeles, CA 90011June 25, 2010 - May 4, 2012
LPL FINANCIAL LLC
May 5, 2010 - May 4, 2012
LPL FINANCIAL LLC
May 9, 2000 - January 12, 2010
NEWPOINT SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/8/2013)
Exams
Series 55
Date: 3/8/2001
Limited Representative-Equity Trader ExamSeries 28
Date: 1/12/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
OPES CAPITAL GROUP, LLC
CRD#: 166106 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 5,000,000 |
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.
