KA
Korosh Ataei
SYMPHONY FINANCIAL, LTD. CO.
Houston, TX 77027
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CRD#: 7412025
KA
Professional summary
Korosh Ataei is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Korosh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Korosh has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.
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.
1. 12/19/2024- Apex Wealth and Risk Management- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)- Start Date 12/11/2024 2. 01/15/2025- Symphony Financial Limited Co- Registered Investment Advisor - INV Related- At Reported Business Location(s)- Start date 12/11/2024- 160 Hours Per Month- 8 Hours During Trading- I provide investment advisory services through Symphony Financial Limited Co, an independent investment advisor firm. I started this business activity in 12/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Korosh Ataei'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
January 7, 2025 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 4295 San Felipe Suite 300, Houston, TX 77027RIA
CRD#: 171816
Houston, TX
Current
January 7, 2025 - Present
LPL FINANCIAL LLC
Office #1: 4295 San Felipe Street Ste 300, Houston, TX 77027RIA
BD
CRD#: 6413
Houston, TX
Past
November 12, 2024 - January 30, 2025
IP FINANCIAL ADVISORY SERVICES LLC
RIA
CRD#: 305772
Fresno, TX
Past
April 19, 2024 - November 14, 2024
CATALYST WEALTH MANAGEMENT LLC
RIA
CRD#: 329586
FRESNO, TX
Past
April 16, 2024 - January 30, 2025
INNOVATION PARTNERS LLC
BD
CRD#: 146344
Houston, TX
Past
July 15, 2022 - April 19, 2024
GWN SECURITIES INC.
RIA
CRD#: 128929
HOUSTON, TX
Past
July 15, 2022 - April 19, 2024
GWN SECURITIES INC.
BD
CRD#: 128929
HOUSTON, TX
Past
January 28, 2022 - July 19, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOUSTON, TX
Past
August 14, 2021 - July 19, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, TX
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 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.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
California(1/7/2025)
RR
Texas(1/7/2025)
IAR
Texas(1/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
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.
