Neil J. Farrell

FARRELL FINANCIAL

ORCHARD PARK, NY 14127

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CRD#: 2616378

Professional summary

Neil Joseph Farrell, who also goes by Neil Farrell, is a registered financial advisor currently at FARRELL FINANCIAL located in Orchard Park, New York.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Neil has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil 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.

***SECURITIES AMERICA POSITION: Financial Advisor NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 12/01/2002 ADDRESS: 21 Princeton Place, Suite 105, Orchard Park NY 14127 DESCRIPTION: I am insurance licensed because I have some clients who brought in variable annuities. I have not sold an annuity, fixed or variable, in 20 years. I very occasionally do term insurance. ***FARRELL FINANCIAL LLC POSITION: Financial Advisor NATURE: ARBOR POINT ADVISORS - INVESTMENT ADVISORY - IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2001 ADDRESS: 21 Princeton Place, Suite 105, Orchard Park NY 14127 DESCRIPTION: I have several clients who hold variable annuities. I have not sold an annuity, fixed or variable, in 20 years. I very occasionally do term life insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Joseph 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

July 15, 2022 - Present

FARRELL FINANCIAL

Office #1: 21 Princeton Place Suite 105, Orchard Park, NY 14127

RIA

CRD#: 321609

ORCHARD PARK, NY

Past

May 8, 2014 - August 15, 2022

ARBOR POINT ADVISORS

RIA

CRD#: 165127

ORCHARD PARK, NY

Past

May 8, 2014 - August 15, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

ORCHARD PARK, NY

Past

April 11, 2014 - May 9, 2014

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

ORCHARD PARK, NY

Past

January 23, 2009 - May 9, 2014

CADARET, GRANT & CO., INC.

CRD#: 10641

ORCHARD PARK, NY

Past

September 9, 2005 - January 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BUFFALO, NY

Past

October 13, 1995 - September 22, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 17, 1995 - October 18, 1995

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FARRELL FINANCIAL

FARRELL FINANCIAL | FARRELL FINANCIAL LLC

CRD#: 321609 / SEC#: 801-125815

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1995

General Securities Representative Examination

Current Firm

FARRELL FINANCIAL

FARRELL FINANCIAL | FARRELL FINANCIAL LLC

CRD#: 321609 / SEC#: 801-125815

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

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Contact information

Main Address

21 Princeton Place Suite 105, Orchard Park, NY 14127

Mailing Address

Phone number

(716) 508-8504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FARRELL FINANCIAL BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	541
AUM (Assets Under Management)	$ 172,203,721

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.

Contact information

xxxxx@xxxx.xxx

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Neil J. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Joseph Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR POINT ADVISORS

SECURITIES AMERICA, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

HSBC BROKERAGE (USA) INC.

Primary Firm SEC Registration

FARRELL FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/2014

Series 63

Date: 8/7/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1995

Current Firm

FARRELL FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARRELL FINANCIAL

TRUST BUT VERIFY

Contact information

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