James P. Farrell

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CRD#: 1186903

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Patrick Farrell, who also goes by James P Farrell, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James P Farrell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 30, 2014 - October 2, 2015

EQUITY SERVICES, INC.

CRD#: 265

MEDIA, PA

Past

May 8, 2012 - January 7, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CHARLOTTE, NC

Past

November 24, 2009 - October 24, 2011

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WEST CHESTER, PA

Past

February 19, 1999 - December 5, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HORSHAM, PA

Past

June 11, 1998 - February 15, 1999

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

February 28, 1997 - December 31, 1998

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

July 12, 1996 - May 8, 1997

WHARTON EQUITY CORPORATION

CRD#: 10170

WAYNE, PA

Past

June 19, 1995 - June 11, 1996

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

April 8, 1992 - August 8, 1995

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

April 20, 1990 - March 9, 1992

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

August 21, 1989 - April 24, 1990

WHARTON EQUITY CORPORATION

CRD#: 10170

WAYNE, PA

Past

January 27, 1988 - August 11, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 15, 1983 - February 17, 1988

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

EQUITY SERVICES, INC.

360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.

CRD#: 265 / SEC#: 801-41722, 8-14286

RIA

Registered Investment Advisory firm - SEC (7/9/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 7/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EQUITY SERVICES, INC.

360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.

CRD#: 265 / SEC#: 801-41722, 8-14286

RIA

Registered Investment Advisory firm - SEC (7/9/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One National Life Drive, Montpelier, VT 05604

Mailing Address

One National Life Drive, Montpelier, VT 05604

Phone number

(800) 344-7437

Established

Vermont since 10/07/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

470

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/4/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (FMAX) (9/2/2025)

ESI FORM ADV PART 2A (6/19/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI COMPASS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI DIRECTIONS) (3/28/2025)

ESI FORM ADV PART 2A - APPENDIX 1 (ESI ILLUMINATIONS) (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NLV FINANCIAL CORPORATION	SHAREHOLDER
ASSADI, MEHRAN	DIRECTOR & CHAIRMAN OF THE BOARD	5270638
AZARSHAHI, ATAOLLAH	PRESIDENT & CEO	7270581
COTTON, ROBERT EARL	DIRECTOR	3085405
DUNNE, REBECCA NASSAR	DIRECTOR	3236752
FRANKLIN, ROBERT	SVP, COMPLIANCE & CCO	3213051
FRAZEE, MATTHEW	DIRECTOR	5979281
KEENAN, JOHN FRANCIS	SVP, BUSINESS DEVELOPMENT	2222699
KUCINSKAS, ERIC KEITH	VP, FINOP & TREASURER	6072823
MCKENNY, IAN ANDREW	VP, CHIEF COUNSEL & SECRETARY	5352951
PALMER, REBECCA	CHIEF INFORMATION SECURITY OFFICER	7320153
TEESE, GREGORY DWIGHT	SVP, OPERATIONS, COO	2135269

Regulatory assets under management

Total Number of Accounts	12,116
AUM (Assets Under Management)	$ 2,451,252,093

Disclosures

Regulatory Event	8
Arbitration	2
Bond	1

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.

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Advisor Monitoring

Firm Stability Insights

James P. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

HORNOR, TOWNSEND & KENT, LLC

PRINCIPAL SECURITIES, INC.

MUTUAL SERVICE CORPORATION

WHARTON EQUITY CORPORATION

ALLSTATE FINANCIAL SERVICES, LLC

FORTH FINANCIAL SECURITIES, CORPORATION

EQUITY SERVICES, INC.

WHARTON EQUITY CORPORATION

FSC SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/1984

SIE

Date: 10/2/2015

Series 22

Date: 7/9/1984

Series 6

Date: 12/14/1983

Current Firm

EQUITY SERVICES, INC.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EQUITY SERVICES, INC.

TRUST BUT VERIFY

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