Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Farhad? Claim Your ProfileFarhad Shaya is a registered investment advisor with Oppenheimer & Co. Inc., based in Coral Gables, Florida. Farhad has been in the industry since 1985 and holds Series 3, 7, 63, and 65 licenses as well as the SIE exam. Prior to joining Oppenheimer, Farhad worked at Wells Fargo Clearing Services, LLC and Prudential Securities Incorporated. Farhad specializes in providing financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
10/20/2021 - Present
Oppenheimer & Co. Inc. (CORAL GABLES FL)
FL
07/01/2003 - 11/04/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
NY
06/03/1991 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/05/1990 - 06/24/1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
NY
05/05/1988 - 09/05/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
01/23/1985 - 04/25/1988
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 05/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1991
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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