Michael P. Farah

FARAH PRIVATE WEALTH MANAGEMENT,

COSTA MESA, CA 92626

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CRD#: 807381

Professional summary

Michael Paul Farah is a registered financial advisor currently at FARAH PRIVATE WEALTH MANAGEMENT, INC located in Costa Mesa, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Michael has worked at 7 firms and has passed the Series 63, PC, Series 7 and Series 40 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Paul Farah'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®

None

Experience

Current

January 28, 2005 - Present

FARAH PRIVATE WEALTH MANAGEMENT, INC

Office #1: 1919 Santa Ana Avenue, Costa Mesa, CA 92626Office #2: 1901 Newport Blvd Suite 149, Costa Mesa, CA 92627

RIA

CRD#: 133776

COSTA MESA, CA

Past

July 27, 1995 - February 24, 2005

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

July 31, 1993 - July 18, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 25, 1982 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 31, 1980 - November 9, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 1, 1977 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

April 24, 1975 - April 1, 1977

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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
(1/28/2005)

IAR

Texas
(3/7/2023)

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

Series 63

Date: 1/15/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 4/19/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 40

Date: 11/27/1978

Registered Principal Examination

Current Firm

FARAH PRIVATE WEALTH MANAGEMENT, INC

FARAH ADVISORY SERVICES, LLC | FARAH, MICHAEL P. | FARAH PRIVATE WEALTH MANAGEMENT, LLC | FARAH PRIVATE WEALTH MANAGEMENT, INC | FARAH FINANCIAL SERVICES, LLC

CRD#: 133776 / SEC#: 801-63810

RIA

Registered Investment Advisory firm - (7/31/2012 Terminated)

California

Registered Investment Advisory firm - (7/12/2012 Approved)

New York

Registered Investment Advisory firm - (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2023 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1901 Newport Blvd Suite 149, Costa Mesa, CA 92627

Mailing Address

Phone number

(949) 719-2625

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 85,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
03/01/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Michael P. Farah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Paul Farah's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

DEAN WITTER & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/1980

PC

Date: 9/7/1977

Series 7

Date: 4/19/1975

Series 40

Date: 11/27/1978

Current Firm

FARAH PRIVATE WEALTH MANAGEMENT, INC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FARAH PRIVATE WEALTH MANAGEMENT, INC

TRUST BUT VERIFY

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