Michael Ara Sarafian

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-08-10
FL	RA	APPROVED	2022-12-13

TX RA
APPROVED

Since 2026-08-10
FL RA
APPROVED

Since 2022-12-13

Branch Locations

4115 West Cypress St., Tampa, FL 33607 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Publix Supermarkets	Clearwater	FL	04/2015	12/2016
Tech Data Corporation	Clearwater	FL	08/2016	12/2017
Morgan Stanley	Tampa	FL	04/2018	05/2021
University Of South Florida	Tampa	FL	01/2018	03/2018
Morgan Stanley Private Bank, N.A.	New York	NY	05/2018	05/2021
Lincoln Investment	Fort Washington	PA	05/2021	12/2022
Capital Analysts	Fort Washington	PA	05/2021	12/2022
Lpl Financial Llc	Tampa	FL	12/2022	Present

04/2015 → 12/2016

Publix Supermarkets

Clearwater, FL
08/2016 → 12/2017

Tech Data Corporation

Clearwater, FL
04/2018 → 05/2021

Morgan Stanley

Tampa, FL
01/2018 → 03/2018

University Of South Florida

Tampa, FL
05/2018 → 05/2021

Morgan Stanley Private Bank, N.A.

New York, NY
05/2021 → 12/2022

Lincoln Investment

Fort Washington, PA
05/2021 → 12/2022

Capital Analysts

Fort Washington, PA
12/2022 → Present

Lpl Financial Llc

Tampa, FL

Previous Registrations

2021-05-19 → 2022-12-08

Lincoln Investment

Tampa, FL

Lutz, FL
2021-05-25 → 2022-12-08

Capital Analysts

Tampa, FL
2018-07-16 → 2021-06-08

Morgan Stanley

Tampa, FL

Other Businesses

1) 12/2022-Cap Equity Advisors- DBA for LPL Business (entity for LPL business)- inv. related- Tampa, FL 2) 12/2022- Sarafian Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Tampa, FL 3) 12/2022- Sunshine Thrift Supply, LLC- business owner- non-inv. related- Largo, FL - start date 12/5/2022- 1hr/mth 4) 12/2022- SBPROPERTY HOLDINGS LLC- Real Estate Rental- co owner- inv. related- 3201 N 24th Street, Tampa, FL 33605- start date 12/2022- 3hrs/mth 5) 12/2022- SBPROPERTY HOLDINGS LLC- Real Estate Rental- co owner- inv. related- 1360 Parkwood Steet, Clearwater, FL 33755- start date 12/2022- 3hrs/mth 6) 12/2022- SBPROPERTY HOLDINGS LLC- Real Estate Rental- co owner- inv. related- 1512 Country Lane, Clearwater, FL- start date 12/2022- 3hrs/mth 7) 12/2022- SBPROPERTY HOLDINGS LLC- Real Estate Rental- co owner- inv. related- 69 Lake Shore Drive, Palm Harbor, FL 34684- 3hrs/mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-14

S66 Uniform Combined State Law Examination

2018-07-14

Designations

Certified Financial Planner

Other Names

Michael Sarafian

View on SEC IAPD