Dennis M. Farrah

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CRD#: 2703960

Professional summary

Dennis Mitchell Farrah was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Dennis had worked at 8 firms, which includes TAYLOR CAPITAL MANAGEMENT INC., SICOR SECURITIES INC, QUESTAR CAPITAL CORPORATION, LIFEMARK SECURITIES CORP., SIGNATOR FINANCIAL SERVICES INC., BRECEK & YOUNG ADVISORS INC., SECURITIES AMERICA INC., LOCUST STREET SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2013 - December 18, 2017

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Aurora, CO

Past

September 8, 2008 - October 29, 2013

SICOR SECURITIES INC

CRD#: 16195

AURORA, CO

Past

May 31, 2007 - September 3, 2008

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CENTENNIAL, CO

Past

November 14, 2005 - June 7, 2006

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

April 11, 2003 - September 3, 2004

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

AURORA, CO

Past

March 10, 2003 - September 3, 2004

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

November 14, 2001 - March 14, 2003

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

February 16, 2001 - March 14, 2003

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

THORNTON, CO

Past

February 1, 2000 - October 31, 2001

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

April 23, 1999 - January 14, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

March 8, 1996 - April 27, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/6/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/7/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TAYLOR CAPITAL MANAGEMENT INC.

TAYLOR CAPITAL MANAGEMENT INC. | TCM SECURITIES, INC.

CRD#: 43559 / SEC#: , 8-50313

Cancelled by SEC on 02/05/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

Georgia since 02/09/2011

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
2 PROUD AMERICAN CORPORATION	PARENT COMPANY
DAUGHERTY, JASON PAUL	VICE PRESIDENT	4267059
HALE, KEVIN MATTHEW	PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	4747003
SPEARS, PRESTON AUBREY	PRESIDENT AND CCO	861779
SPEARS, PRESTON AUBREY	CHIEF FINANCIAL OFFICER	861779

Disclosures

Regulatory Event	3
Arbitration	9

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Dennis M. Farrah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SICOR SECURITIES INC

QUESTAR CAPITAL CORPORATION

LIFEMARK SECURITIES CORP.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

SECURITIES AMERICA, INC.

LOCUST STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/1998

SIE

Date: 12/18/2017

Series 7

Date: 5/4/1998

Series 6

Date: 3/7/1996

Current Firm

TAYLOR CAPITAL MANAGEMENT INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TAYLOR CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

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