JF
James P. Farrell
NYLIFE DISTRIBUTORS LLC
NEW YORK, NY 10171
Some features on this profile are disabled
CRD#: 1832653
JF
Professional summary
James Patrick Farrell is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Patrick 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
October 25, 2002 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 299 Park Avenue 32nd Floor, New York, NY 10171BD
CRD#: 35350
NEW YORK, NY
Past
July 1, 1998 - June 28, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 21, 1995 - June 12, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 28, 1995 - February 13, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 10, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
April 21, 1992 - February 22, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 6, 1990 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
BD
CRD#: 3664
CHICAGO, IL
Past
September 20, 1989 - January 20, 1990
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
Past
January 24, 1989 - June 13, 1989
CLAYTON BROWN & ASSOCIATES, INC.
BD
CRD#: 3664
CHICAGO, IL
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
Alabama(7/28/2008)
RR
Alaska(7/28/2008)
RR
Arizona(7/28/2008)
RR
Arkansas(7/28/2008)
RR
California(7/28/2008)
RR
Colorado(7/28/2008)
RR
Connecticut(7/28/2008)
RR
Delaware(7/28/2008)
RR
District of Columbia(7/28/2008)
RR
Florida(7/28/2008)
RR
Georgia(7/28/2008)
RR
Hawaii(7/28/2008)
RR
Idaho(7/28/2008)
RR
Illinois(7/28/2008)
RR
Indiana(7/28/2008)
RR
Iowa(7/28/2008)
RR
Kansas(7/28/2008)
RR
Kentucky(7/28/2008)
RR
Louisiana(7/28/2008)
RR
Maine(7/28/2008)
RR
Maryland(7/28/2008)
RR
Massachusetts(7/28/2008)
RR
Michigan(7/28/2008)
RR
Minnesota(7/28/2008)
RR
Mississippi(7/28/2008)
RR
Missouri(7/28/2008)
RR
Montana(7/28/2008)
RR
Nebraska(7/28/2008)
RR
Nevada(7/28/2008)
RR
New Hampshire(7/28/2008)
RR
New Jersey(7/28/2008)
RR
New Mexico(7/28/2008)
RR
New York(10/25/2002)
RR
North Carolina(7/28/2008)
RR
North Dakota(7/28/2008)
RR
Ohio(7/28/2008)
RR
Oklahoma(7/28/2008)
RR
Oregon(7/28/2008)
RR
Pennsylvania(7/28/2008)
RR
Rhode Island(7/28/2008)
RR
South Carolina(7/28/2008)
RR
South Dakota(7/28/2008)
RR
Tennessee(7/28/2008)
RR
Texas(7/28/2008)
RR
Utah(7/28/2008)
RR
Vermont(7/28/2008)
RR
Virginia(7/28/2008)
RR
Washington(7/28/2008)
RR
West Virginia(7/28/2008)
RR
Wisconsin(7/28/2008)
RR
Wyoming(7/28/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NYLIFE DISTRIBUTORS LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC | NYLIFE DISTRIBUTORS LLC | NYLIFE DISTRIBUTORS INC.
CRD#: 35350 / SEC#: , 8-46655
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
30 Hudson Street, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 22nd Floor, Jersey City, NJ 07302
Phone number
(201) 685-6220
Established
Delaware since 10/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
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.
