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Zara Guivi

D.A. Davidson & CO.
16 Years of Experience
Encino, CA
1 DisclosureBroker
View SEC Summary
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Zara Guivi is a registered investment advisor at D.A. Davidson & CO., based in Encino, CA, with 16 years of industry experience. Zara is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.

D.A. Davidson & CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
695 advisors
IM Fee
Planning only
Assets Under Management
$41.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
One-Time Plan:$1,500 - $15,000
View Full SEC Brochure

Location

16130 Ventura Blvd, Suite 460, Encino, CA, 91436

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History

Regulatory History (1)
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Criminal
July 1989
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
D.A. Davidson & CO.
June 2024 - Present · 2 yrs 4 mos
D.A. Davidson & CO.Broker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
City National Securities, INC.
January 2021 - July 2024 · 3 yrs 6 mos
City National Securities, INC.Broker
January 2021 - July 2024 · 3 yrs 6 mos
Unionbanc Investment Services, LLC
July 2018 - January 2021 · 2 yrs 6 mos
Unionbanc Investment Services, LLCBroker
July 2018 - January 2021 · 2 yrs 6 mos
Perennial Financial Services
June 2017 - July 2018 · 1 yr 1 mo
LPL Financial LLCBroker
November 2014 - July 2018 · 3 yrs 8 mos
LPL Financial LLC
November 2014 - September 2017 · 2 yrs 10 mos
Oppenheimer & CO. INC.
November 2010 - December 2014 · 4 yrs 1 mo
Oppenheimer & CO. INC.Broker
September 2010 - December 2014 · 4 yrs 3 mos
State Registrations19 states
AZCADCFLGAIDILMDMTNCNMNVNYOHORTXUTVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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