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AF

Anthony T. Farren

MISCHLER FINANCIAL GROUP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 1697174
AF

Professional summary

Anthony Trainor Farren, who also goes by Anthony T Farren, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1987. Anthony has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony T Farren

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) - BD

Click below to view Anthony Trainor Farren'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®
None

Experience

Current

October 15, 2019 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902
BD
CRD#: 37818
Stamford, CT
Past

May 23, 2018 - November 7, 2019

ACADEMY SECURITIES, INC.

BD
CRD#: 17433
South Norwalk, CT
Past

May 3, 2013 - May 24, 2018

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
IRVINE, CA
Past

July 1, 2008 - May 1, 2013

NAVIGATE ADVISORS

BD
CRD#: 128143
STAMFORD, CT
Past

November 7, 2002 - April 11, 2008

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 13, 2001 - October 3, 2002

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

July 29, 1996 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 11, 1996 - June 20, 1996

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 22, 1987 - December 20, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/15/2019)
RR
Connecticut
(10/15/2019)
RR
New York
(10/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/25/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/24/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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.

Company Information

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Stamford, CT 06902

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