RM
Roya Mohammadi
LPL ENTERPRISE
IRVINE, CA 92612
Some features on this profile are disabled
CRD#: 6267723
RM
Professional summary
Roya Mohammadi, who also goes by Roya Zahra Mohammadi, Roya Mohammadi, Zahra Mohammadi, Roya Zahra Mohammadi, Zahra Mohammadi, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Irvine, California.
Roya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Roya has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roya Zahra Mohammadi | Roya Mohammadi | Zahra Mohammadi | Roya Zahra Mohammadi | Zahra Mohammadi
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.
1. 05/28/2025 - Medicare coverage plans - Non-Variable Insurance - INV REL - ANAHEIM, CA - Start Date 09/05/2019 - 20 HRS/MO 2. 05/28/2025 - Southern California Funding Inc. - Mortgage/Real Estate Services - INV REL - Irvine, CA - Start Date 10/01/2023 - 20 HRS/MO 3. 05/28/2025 - Coldwell Banker Platinum Properties - Mortgage/Real Estate Services - INV REL - Irvine, CA - Start Date 09/27/2023 - 35 HRS/MO 4. 05/28/2025 - Royal Financial Advising Inc - Business Entity For Tax/Investment Purposes Only - INV REL - Anaheim, CA - Start Date 03/04/2020 - 5 HRS/MO
CRS (Client Relationship Summary) - RIA
Click below to view Roya Mohammadi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roya Mohammadi's 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®
NoneExperience
Current
May 28, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 3333 Michelson Drive Suite 820, Irvine, CA 92612RIA
BD
CRD#: 8733
IRVINE, CA
Current
May 28, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 3333 Michelson Drive Suite 820, Irvine, CA 92612RIA
BD
CRD#: 8733
IRVINE, CA
Past
September 15, 2023 - May 19, 2025
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
MANCHESTER, MO
Past
August 11, 2021 - September 22, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
RIVERSIDE, CA
Past
August 9, 2021 - September 9, 2021
PFS INVESTMENTS INC.
RIA
CRD#: 10111
RIVERSIDE, CA
Past
March 27, 2017 - August 15, 2019
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Long Beach, CA
Past
May 26, 2016 - August 15, 2019
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
LONG BEACH, CA
Past
May 28, 2015 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
LONG BEACH, CA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/19/2025)
RR
California(5/28/2025)
IAR
California(5/28/2025)
RR
Colorado(11/4/2025)
RR
Idaho(9/22/2025)
RR
New Mexico(7/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
