Lawrence C. Farley
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.
Lawrence Christian Farley was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1994. Lawrence had worked at 8 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
July 24, 1997 - September 18, 1997
M.S. FARRELL & COMPANY, INC.
March 11, 1997 - May 28, 1997
INVESTORS ASSOCIATES, INC.
January 6, 1997 - February 5, 1997
ARGENT SECURITIES, INC.
January 12, 1996 - October 17, 1996
MEYERS POLLOCK ROBBINS, INC.
April 5, 1995 - January 5, 1996
BARRON CHASE SECURITIES, INC.
February 6, 1995 - May 12, 1995
H.J. MEYERS & CO., INC.
December 14, 1994 - January 18, 1995
D. H. BLAIR & CO., INC.
March 17, 1994 - June 14, 1994
FINANCIAL NORTHEASTERN SECURITIES, 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
M.S. FARRELL & COMPANY, INC.
CRD#: 24232 / SEC#: , 8-41157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M.S. FARRELL HOLDINGS, INC. | OWNS APPLICANT | |
| DRAGON, THEODORE JOSEPH | DIRECTOR OF COMPLIANCE | 2831853 |
| GALLO, THOMAS ANTHONY | CHIEF EXECUTIVE OFFICER | 1705791 |
| NEUHAUS, LEONARD ALAN | CHIEF FINANCIAL OFFICER | 1871294 |
| REMPEL, BRENDAN CHRISTOPHER | PRESIDENT | 2121458 |
| SCHACKER, KEITH STUART | CHIEF OPERATING OFFICER/SROP/CROP | 1392793 |
| SCHACKER, MARTIN FARRELL | CHAIRMAN | 1133567 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
