Ali Mozaffar

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 03/2018
  Capital One Investing
  Mclean, VA
• 02/2015 → 03/2018
  Capital One Advisors, Llc
  Mclean, VA
• 03/2018 → 06/2020
  United Brokerage Services
  Falls Church, VA
• 06/2020 → Present
  Lpl Financial, Llc
  Potomac, MD

Previous Registrations

• 2018-03-26 → 2020-06-30
  United Brokerage Services, Inc
  Vienna, VA
  Falls Church, VA
  Vienna, VA
  Mclean, VA
• 2015-03-04 → 2018-03-26
  Capital One Advisors, Llc
  Washington, DC
  Mclean, VA
  Mclean, VA
• 2014-03-18 → 2014-06-23
  Wells Fargo Clearing Services, Llc
  Bethesda, MD
  Columbia, MD
• 2012-12-11 → 2013-11-04
  Hsbc Securities (Usa) Inc.
  Rockville, MD
  Bethesda, MD
  Washington, DC
• 2010-01-27 → 2012-09-26
  First Command Brokerage Services, Inc.
  Rockville, MD

Other Businesses

1. 06/2020 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - PERLEO CAPITAL MANAGMENT - INVESTMENT RELATED - POTOMAC, MD 20854 2. 03/06/2025 - none- don't have one yet - Not Investment Related - Non-Profit Board Member - At Reported Business Location(s) - 20 Hrs/Mth - 10 Hrs During Trading - Start Date : 02/28/2025

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-01-26
• S63 Uniform Securities Agent State Law Examination
  2009-08-03

Other Names

• Ali Mozaffarzadeh
• Seyed A Mozaffarzadeh
• Seyed Ali Mozaffarzadeh