Joshua A. Farahi
Professional summary
Being a previously registered professional could mean that this person 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.
Joshua Allen Farahi was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2000. Joshua had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - December 31, 2025
OPES CAPITAL GROUP, LLC
June 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.
Visual representation of state registrations
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.
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