John F. 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.
John Francis Farrell, who also goes by Jack Farrell, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 1999 - September 29, 2006
WESTPORT SECURITIES, L.L.C.
November 28, 1997 - April 15, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 28, 1997 - December 15, 1997
OSAIC WEALTH, INC.
July 13, 1992 - October 17, 2016
RESNICK ADVISORS
October 24, 1991 - December 15, 1997
OSAIC WEALTH, 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
Current Firm
WESTPORT SECURITIES, L.L.C.
CRD#: 46113 / SEC#: , 8-51312
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.
