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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

FARID FARHOUMAND

Advisor at LPL FINANCIAL LLC

FORT WAYNE, IN

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Search this name across graphsid dfx:ria:133b36c9-cfe3-b090-11f9-c99f52d80ed9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 6, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 26, 1982
First registration: Nov 6, 1998
Dual registered: yes, broker-dealer
Other names: FRED FARHOUMAND
IAPD individual key: 727764

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2025	n/a	yes	FORT WAYNE, IN	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Sep 17, 2014	Jul 10, 2025	no	FORT WAYNE, IN\|FORT WAYNE, IN\|HOUSTON, TX	Previous registration
H. BECK, INC.	Former SEC adviser	Sep 17, 2008	Sep 12, 2014	no	FORT WAYNE, IN	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Aug 7, 2006	Sep 10, 2008	no	FT. WAYNE, IN	Previous registration
ATLAS CAPITAL MANAGEMENT CORP	Independent wealth	Jan 14, 1999	Jul 2, 2003	no	FORT WAYNE, IN	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Nov 6, 1998	Aug 9, 2006	no	FORT WAYNE, IN\|FORT WAYNE, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
H. BECK, INC.	NEXT FINANCIAL GROUP, INC.	Sep 12, 2014	Sep 17, 2014	5	Firm change	Other
GUNNALLEN FINANCIAL, INC	H. BECK, INC.	Sep 10, 2008	Sep 17, 2008	7	Firm change	Other
SII INVESTMENTS, INC.	ATLAS CAPITAL MANAGEMENT CORP	Aug 9, 2006	Jan 14, 1999	-2,764	Firm change after gap	Other
ATLAS CAPITAL MANAGEMENT CORP	GUNNALLEN FINANCIAL, INC	Jul 2, 2003	Aug 7, 2006	1,132	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 17, 2014 to Jul 10, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Sep 17, 2008 to Sep 12, 2014factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Aug 7, 2006 to Sep 10, 2008factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 6, 1998 to Aug 9, 2006factForm ADV
→ ATLAS CAPITAL MANAGEMENT CORPRegistered adviserregistration: previous registration
Jan 14, 1999 to Jul 2, 2003factForm ADV

Dated events

No dated event names this entity yet.