Gregory M. Farley
Professional summary
Gregory Michael Farley, who also goes by Gregory Farley, is a registered financial professional currently at R.W. SMITH & ASSOCIATES, LLC located in Rancho Palos Verdes, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1987. Gregory has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Michael Farley's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 1994 - Present
R.W. SMITH & ASSOCIATES, LLC
January 1, 2001 - February 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
July 3, 2000 - January 1, 2001
MJK CLEARING, INC.
November 30, 1993 - January 19, 1994
CANTOR FITZGERALD SECURITIES
November 1, 1993 - January 19, 1994
MINT BROKERS
November 8, 1991 - September 3, 1993
WEDBUSH SECURITIES INC.
April 8, 1991 - November 8, 1991
HARTFIELD, TITUS & DONNELLY, LLC
July 7, 1987 - September 6, 1990
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/1994)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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