Fredrick C. 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.
Fredrick Clair Farrell, who also goes by Fred Clair Farrell, Fred Farrell, Fredrick Claire Farrell, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1969. Fredrick had worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1989 - March 6, 1990
DILLON SECURITIES, INC.
November 28, 1988 - February 28, 1989
ADAMS SECURITIES, INC.
February 19, 1987 - September 7, 1988
CIMMARON SECURITIES CORPORATION
October 12, 1985 - January 14, 1987
J. ROBERT SHEEKS & CO.
February 6, 1984 - October 9, 1985
MICHAEL C. TALLEY & CO., INC.
August 10, 1982 - January 11, 1984
DILLON SECURITIES, INC.
March 21, 1975 - January 15, 1982
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 5, 1972 - December 21, 1973
FOUNDERS ASSET MANAGEMENT, INC.
July 25, 1972 - April 1, 1973
KIDDER, PEABODY & CO., INCORPORATED
October 14, 1971 - August 31, 1972
FOUNDERS ASSET MANAGEMENT, INC.
May 11, 1971 - November 14, 1971
MUTUAL FUNDS CO., INC.
July 1, 1969 - June 21, 1971
FOUNDERS ASSET MANAGEMENT, INC.
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
Series 1
Date: 6/28/1969
Registered Representative ExaminationCurrent Firm
DILLON SECURITIES, INC.
CRD#: 10660 / SEC#: , 8-22074
Contact information
Documents
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.
