James C. Farrelly

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CRD#: 1496669

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 Christopher Farrelly, who also goes by James C Farrelly, Jim Farrelly, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James C Farrelly | Jim Farrelly

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

January 8, 2018 - June 5, 2024

CHOREO, LLC

RIA

CRD#: 111221

ELKHART, IN

Past

July 8, 2015 - September 22, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SOUTH BEND, IN

Past

June 11, 2015 - September 22, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SOUTH BEND, IN

Past

August 10, 2007 - June 2, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SOUTH BEND, IN

Past

June 22, 2007 - June 2, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SOUTH BEND, IN

Past

August 29, 2001 - May 7, 2007

LPL FINANCIAL LLC

CRD#: 6413

AURORA, IL

Past

July 11, 1996 - September 30, 1999

ACADEMY SECURITIES, INC.

CRD#: 17433

NEW YORK, NY

Past

August 25, 1988 - February 1, 1991

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

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".

CHOREO, LLC

CHOREO, LLC | RSM US WEALTH MANAGEMENT LLC | RSM MCGLADREY, INC. | RSM MCGLADREY LLC | MCGLADREY WEALTH MANAGEMENT LLC

CRD#: 111221 / SEC#: 801-57236

RIA

Registered Investment Advisory firm - (11/16/2011 Approved)

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

IAR

Series 65

Date: 8/9/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/1996

General Securities Representative Examination

Current Firm

CHOREO, LLC

CHOREO, LLC | RSM US WEALTH MANAGEMENT LLC | RSM MCGLADREY, INC. | RSM MCGLADREY LLC | MCGLADREY WEALTH MANAGEMENT LLC

CRD#: 111221 / SEC#: 801-57236

RIA

Registered Investment Advisory firm - (11/16/2011 Approved)

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Contact information

Main Address

6735 Vistagreen Way Suite 110, Rockford, IL 61107

Mailing Address

Phone number

(312) 702-1680

Established

Firm type

Fiscal year end

# of Employees

218

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A MARCH 25 2025 FINAL (3/25/2025)

Regulatory assets under management

Total Number of Accounts	25,137
AUM (Assets Under Management)	$ 18,232,358,701

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
11/12/2024	Cover Page	Report
12/20/2023	Cover Page	Report
11/30/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James C. Farrelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

LPL FINANCIAL LLC

ACADEMY SECURITIES, INC.

WINGSPAN INVESTMENT SERVICES

Primary Firm SEC Registration

CHOREO, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2007

Series 63

Date: 9/4/1996

SIE

Date: 9/22/2017

Series 7

Date: 7/10/1996

Current Firm

CHOREO, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHOREO, LLC

TRUST BUT VERIFY

Contact information

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