MF
Michael S. Farrell
SEI INVESTMENTS MANAGEMENT CORP
Oaks, PA 19456
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CRD#: 1073150
MF
Professional summary
Michael Sean Farrell is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Oaks, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 5 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PARTNER IN REAL ESTATE PARTNERSHIPS
CRS (Client Relationship Summary) - RIA
Click below to view Michael Sean Farrell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 27, 2007 - Present
SEI INVESTMENTS MANAGEMENT CORP
Office #1: One Freedom Valley Drive, Oaks, PA 19456RIA
CRD#: 105146
Oaks, PA
Past
November 24, 1993 - June 6, 2007
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
November 24, 1982 - January 12, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
CRD#: 105146 / SEC#: 801-24593
RIA
Registered Investment Advisory firm - (6/27/1985 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(3/5/2014)
IAR
California(11/19/2013)
IAR
Colorado(11/19/2013)
IAR
Connecticut(11/21/2013)
IAR
Delaware(11/20/2013)
IAR
District of Columbia(3/6/2014)
IAR
Georgia(2/28/2014)
IAR
Illinois(11/19/2013)
IAR
Kentucky(11/19/2013)
IAR
Louisiana(2/18/2019)
IAR
Maryland(2/8/2018)
IAR
Massachusetts(11/25/2013)
IAR
New Hampshire(11/19/2013)
IAR
New Jersey(3/27/2014)
IAR
North Carolina(2/9/2018)
IAR
Ohio(11/18/2013)
IAR
Oregon(11/18/2013)
IAR
Pennsylvania(6/27/2007)
IAR
Rhode Island(11/19/2013)
IAR
South Carolina(11/19/2013)
IAR
Texas(2/9/2018)
IAR
Virginia(11/19/2013)
IAR
Washington(11/18/2013)
IAR
Wisconsin(11/18/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationPrincipal/Supervisory Exam
Current Firm
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
CRD#: 105146 / SEC#: 801-24593
RIA
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Contact information
Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
Phone number
(610) 676-1000
Established
Firm type
Fiscal year end
# of Employees
447
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 99,603 |
| AUM (Assets Under Management) | $ 198,143,431,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/27/2025 | ||
| 10/25/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
