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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Parviz Paul Pourfarid

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NC | Woodland Hills, CA

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Search this name across graphsid dfx:ria:5d2daa16-8453-1937-0d5f-2e984aef1176

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2004 to Sep 15, 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: IP FINANCIAL ADVISORY SERVICES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 13, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 13, 1991
First registration: Feb 13, 2004
Dual registered: yes, broker-dealer
Other names: Parviz P. Pourfarid
IAPD individual key: 2112613

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
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Aug 21, 2025	n/a	yes	CHARLOTTE, NC\|Woodland Hills, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Sep 6, 2018	Jul 9, 2025	no	PASADENA, CA\|Westlake Village, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Nov 18, 2010	no	CANOGA PARK, CA\|RESEDA, CA\|WESTLAKE VILLAGE, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 18, 2007	Oct 23, 2009	no	RESEDA, CA\|RESEDA, CA\|CANOGA PARK, CA\|WESTLAKE VILLAGE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 1, 2005	May 21, 2007	no	ENCINO, CA\|ENCINO, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Feb 13, 2004	May 12, 2004	no	RESEDA, CA	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
WESTERN INTERNATIONAL SECURITIES	IP FINANCIAL ADVISORY SERVICES LLC	Jul 9, 2025	Aug 21, 2025	43	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WESTERN INTERNATIONAL SECURITIES	Nov 18, 2010	Sep 6, 2018	2,849	Firm change after gap	Wirehouse to RIA
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	May 21, 2007	May 18, 2007	-3	Firm change	Other
CITICORP INVESTMENT SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 12, 2004	Apr 1, 2005	324	Firm change	Other

Relationships

Registered with (5)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Aug 21, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Sep 6, 2018 to Jul 9, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Nov 18, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 18, 2007 to Oct 23, 2009factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Feb 13, 2004 to May 12, 2004factForm ADV

Dated events

Occurred
Jul 9, 2025
Advisor changed firm
Parviz Paul Pourfarid left Western International Securities for Ip Financial Advisory Services Llc (registered 2025-08-21)
Form ADVobserved 5 days ago