James K. Farrelly
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.
James Kenneth Farrelly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 79, Series 7 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 9, 2021 - October 31, 2022
WEILD & CO.
October 30, 2014 - March 10, 2020
CLICK CAPITAL MARKETS
August 21, 2001 - February 1, 2002
HERITAGE WEST SECURITIES, INC.
April 5, 2001 - August 24, 2001
ESTREET SECURITIES, INC.
November 13, 1998 - April 2, 1999
FOX & COMPANY INVESTMENTS INC.
October 13, 1994 - September 13, 1996
SENTRA SECURITIES CORPORATION
August 5, 1994 - November 18, 1996
SPELMAN & CO., INC.
April 12, 1994 - July 21, 1994
FRANKLIN-LORD, 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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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