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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Shahriar Faraji

Advisor at LPL FINANCIAL LLC

LATHRUP VILLAGE, MI

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Search this name across graphsid dfx:ria:fcbc61a7-478f-4ec4-582f-694800a1994b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 11, 2002 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: Mar 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 9, 1998
First registration: Jul 11, 2002
Dual registered: yes, broker-dealer
Other names: STEVE FARAJI
IAPD individual key: 2954826

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	Sep 3, 2024	n/a	yes	LATHRUP VILLAGE, MI	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 8, 2019	Dec 20, 2019	no	Novi, MI	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 8, 2019	Dec 20, 2019	no	Novi, MI	Previous registration
OLD MUTUAL CAPITAL	Former SEC adviser	Dec 6, 2007	Feb 26, 2008	no	DENVER, CO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 1, 2003	May 30, 2006	no	AURORA, CO\|DENVER, CO\|DENVER, CO	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 11, 2002	May 2, 2003	no	WAVERLY, IA	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	LPL FINANCIAL LLC	Dec 20, 2019	Sep 3, 2024	1,719	Firm change after gap	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Dec 20, 2019	May 8, 2019	-226	Channel change	Other
OLD MUTUAL CAPITAL	TD AMERITRADE, INC.	Feb 26, 2008	May 8, 2019	4,089	Firm change after gap	Other
LPL FINANCIAL LLC	OLD MUTUAL CAPITAL	May 30, 2006	Dec 6, 2007	555	Firm change after gap	Other
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 2, 2003	May 1, 2003	-1	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 1, 2003 to May 30, 2006factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 8, 2019 to Dec 20, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 8, 2019 to Dec 20, 2019factForm ADV
→ OLD MUTUAL CAPITALRegistered adviserregistration: previous registration
Dec 6, 2007 to Feb 26, 2008factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 11, 2002 to May 2, 2003factForm ADV

Dated events

No dated event names this entity yet.