Joseph A. 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.
Joseph A Farrell, who also goes by Joe Farrell, Joseph Andrew Farrell, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2017 - January 12, 2018
WALL STREET ACCESS
November 5, 2014 - January 23, 2015
SQUARE GLOBAL MARKETS
September 9, 2013 - October 31, 2014
NOMURA SECURITIES INTERNATIONAL, INC.
November 28, 2011 - March 26, 2013
BNP PARIBAS SECURITIES CORP.
January 4, 2010 - June 10, 2010
CAPSTONE GLOBAL MARKETS, LLC
November 2, 2009 - December 3, 2009
MKM PARTNERS LLC
April 20, 2009 - October 2, 2009
FIRST NEW YORK SECURITIES L.L.C.
May 4, 2007 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
August 15, 2006 - May 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2005 - August 8, 2006
MILLENCO LLC
August 24, 2000 - May 10, 2005
DEUTSCHE BANK SECURITIES INC.
September 16, 1998 - May 7, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1994 - December 31, 1996
WMA 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
Series 55
Date: 9/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
