Mickey L. 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.
Mickey Leroy Farrell, who also goes by Mick L Farrell, Mick Leroy Farrell, was a registered financial professional .
Mickey is a previously registered financial professional and started their career in finance in 1991. Mickey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - April 25, 2024
CROWN CAPITAL SECURITIES, L.P.
January 2, 2018 - April 25, 2024
CROWN CAPITAL SECURITIES, L.P.
June 7, 2004 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
June 3, 2004 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
December 12, 2003 - June 7, 2004
KOVACK SECURITIES INC.
January 7, 2003 - December 12, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
October 18, 2002 - January 17, 2003
WELLS FARGO INVESTMENTS, LLC
October 12, 2001 - January 17, 2003
WELLS FARGO INVESTMENTS, LLC
July 1, 1999 - October 12, 2001
WELLS FARGO SECURITIES, LLC
July 7, 1994 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
July 10, 1991 - December 21, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 10, 1991 - June 10, 1994
PRUCO SECURITIES, LLC.
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
