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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

ZARA GUIVI

Advisor at D.A. DAVIDSON & CO.

ENCINO, CA

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Search this name across graphsid dfx:ria:9ece350b-fa19-8696-5e06-ba092550729c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2010 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: D.A. DAVIDSON & CO.
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: Nov 10, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 10, 2010
First registration: Nov 11, 2010
Dual registered: yes, broker-dealer
Other names: ZARA GUIVI|ZAHRA GUIVI
IAPD individual key: 5778643

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
D.A. DAVIDSON & CO.	Independent wealth	Jun 27, 2024	n/a	yes	ENCINO, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Jan 15, 2021	Jul 25, 2024	no	Westlake Village, CA\|westlake village, CA\|Calabasas, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jul 5, 2018	Jan 13, 2021	no	Beverly Hills, CA\|Los Angeles, CA\|LOS ANGELES, CA\|BEVERLY HILLS, CA\|BEVERLY HILLS, CA	Previous registration
PERENNIAL FINANCIAL SERVICES	Independent wealth	Jun 13, 2017	Jul 16, 2018	no	Los Angeles, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 17, 2014	Sep 26, 2017	no	LOS ANGELES, CA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Nov 11, 2010	Dec 1, 2014	no	LOS ANGELES, 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
RBC SECURITIES, INC.	D.A. DAVIDSON & CO.	Jul 25, 2024	Jun 27, 2024	-28	Firm change	RIA to RIA
U.S. BANCORP ADVISORS, LLC	RBC SECURITIES, INC.	Jan 13, 2021	Jan 15, 2021	2	Firm change	Ibd to RIA
PERENNIAL FINANCIAL SERVICES	U.S. BANCORP ADVISORS, LLC	Jul 16, 2018	Jul 5, 2018	-11	Firm change	RIA to ibd
LPL FINANCIAL LLC	PERENNIAL FINANCIAL SERVICES	Sep 26, 2017	Jun 13, 2017	-105	Firm change after gap	Other
OPPENHEIMER & CO. INC.	LPL FINANCIAL LLC	Dec 1, 2014	Nov 17, 2014	-14	Firm change	Other

Relationships

Registered with (6)

→ D.A. DAVIDSON & CO.Registered adviserregistration: current employment
Jun 27, 2024 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Jan 15, 2021 to Jul 25, 2024factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 5, 2018 to Jan 13, 2021factForm ADV
→ PERENNIAL FINANCIAL SERVICESRegistered adviserregistration: previous registration
Jun 13, 2017 to Jul 16, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 17, 2014 to Sep 26, 2017factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Nov 11, 2010 to Dec 1, 2014factForm ADV

Dated events

Occurred
Jul 25, 2024
Advisor changed firm
Zara Guivi left Rbc Securities, Inc. for D.A. Davidson & Co. (registered 2024-06-27)
Form ADVobserved 6 days ago