AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MF

Michael J. Farrell

BGC FINANCIAL, L.P.
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2348039
MF

Professional summary

Michael James Farrell, who also goes by Michael Farrell, is a registered financial professional currently at BGC FINANCIAL, L.P. located in Red Bank, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Farrell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael James Farrell's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 17, 2022 - Present

BGC FINANCIAL, L.P.

Office #1: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701
BD
CRD#: 19801
Red Bank, NJ
Past

November 9, 2009 - April 7, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
New York, NY
Past

August 17, 2009 - November 10, 2009

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

August 22, 2008 - September 15, 2009

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

April 15, 2002 - October 9, 2008

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
NEW YORK, NY
Past

March 1, 2000 - April 15, 2002

INSTINET FIXED INCOME INC.

BD
CRD#: 47326
NEW YORK, NY
Past

October 1, 1999 - July 28, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

August 25, 1999 - August 31, 1999

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

August 13, 1999 - September 3, 1999

INTERCAPITAL INTERNATIONAL INC.

BD
CRD#: 22109
NEW YORK, NY
Past

June 24, 1996 - September 3, 1999

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

June 13, 1996 - July 13, 1998

EXCO RMJ INTERNATIONAL INC.

BD
CRD#: 21287

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
New Jersey
(5/18/2022)
RR
New York
(5/19/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/2001
General Securities Representative Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.

CRD#: 19801 / SEC#: , 8-39012

BD
Broker-Dealer Firm Regulated by FINRA (New York 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
55 Water Street 10th Floor, New York, NY, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BGC BROKERS US L.P.LIMITED PARTNER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
AUBIN, JEAN PIERREEXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES5596046
BGCF HOLDINGS LLCGENERAL PARTNER
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHMANAGING DIRECTOR FIXED INCOME AND COMMODITIES2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event36

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.

Company Information

BGC FINANCIAL, L.P.

CRD#: 19801Red Bank, NJ 07701

TRUST BUT VERIFY

Monitor Michael Farrell

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

FR
Fernando RiveraAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
East Brunswick, NJ
SS
Stephen StewartAdvisorCheck Check Mark
CHELSEA ADVISORY SERVICES, INC
IAR
RR
South Ozone Park, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics