Christopher W. Farrell
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.
Christopher W Farrell, who also goes by Chris Farrell, Christopher William Farrell, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1989. Christopher had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - June 16, 2026
CHARLES SCHWAB & CO., INC.
September 28, 2011 - June 16, 2026
CHARLES SCHWAB & CO., INC.
June 2, 2011 - September 6, 2011
CETERA INVESTMENT SERVICES LLC
June 2, 2011 - September 6, 2011
CETERA INVESTMENT SERVICES LLC
March 2, 2011 - May 4, 2011
INVEST FINANCIAL CORPORATION
October 6, 2010 - May 4, 2011
INVEST FINANCIAL CORPORATION
August 1, 2008 - January 5, 2009
ABERDEEN FUND DISTRIBUTORS, LLC
January 3, 2007 - August 7, 2008
FORESIDE FUND SERVICES, LLC
March 15, 2005 - May 17, 2006
MORGAN STANLEY DW INC.
June 17, 2004 - September 3, 2004
BOFA DISTRIBUTORS, INC.
September 17, 2002 - July 2, 2004
BACAP DISTRIBUTORS, LLC
March 25, 2002 - July 3, 2002
FAM DISTRIBUTORS, INC.
August 16, 1999 - June 5, 2001
FORUM FINANCIAL SERVICES, LLC
August 1, 1996 - July 23, 1999
SEI INVESTMENTS DISTRIBUTION CO.
March 9, 1994 - July 16, 1996
CHARLES SCHWAB & CO., INC.
May 6, 1992 - February 11, 1994
CONFEDERATION FINANCIAL SERVICES (U.S.), INC.
November 22, 1989 - March 13, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 22, 1989 - March 13, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
