Daniel J. Farren

BOSTON PARTNERS SECURITIES, L.L.C.

Boston, MA 02108

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CRD#: 2790168

Professional summary

Daniel J Farren, who also goes by Daniel Farren, Danny Farren, is a registered financial professional currently at BOSTON PARTNERS SECURITIES, L.L.C. located in Boston, Massachusetts.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Farren | Danny Farren

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) - BD

Click below to view Daniel J Farren'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

May 6, 2016 - Present

BOSTON PARTNERS SECURITIES, L.L.C.

Office #1: One Beacon Street 30th Floor, Boston, MA 02108

CRD#: 2998

Boston, MA

Past

December 8, 2010 - July 25, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

October 23, 2009 - March 4, 2010

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

STAMFORD, CT

Past

February 6, 2004 - February 11, 2005

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

July 11, 2003 - February 6, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

March 1, 2002 - April 18, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

August 8, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

July 14, 1998 - June 27, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 10, 1996 - June 22, 1998

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/25/2016)

Alaska
(5/26/2016)

Arizona
(5/26/2016)

Arkansas
(7/8/2016)

California
(5/16/2016)

Colorado
(5/25/2016)

Connecticut
(7/7/2016)

Delaware
(6/1/2016)

District of Columbia
(2/9/2016)

Florida
(2/11/2016)

Georgia
(7/11/2016)

Hawaii
(5/25/2016)

Idaho
(5/18/2016)

Illinois
(2/18/2016)

Indiana
(7/8/2016)

Iowa
(5/25/2016)

Kansas
(5/18/2016)

Kentucky
(5/16/2016)

Louisiana
(6/9/2016)

Maine
(5/13/2016)

Maryland
(2/10/2016)

Massachusetts
(5/25/2016)

Michigan
(5/18/2016)

Minnesota
(7/8/2016)

Mississippi
(7/13/2016)

Missouri
(5/16/2016)

Montana
(5/13/2016)

Nebraska
(7/21/2016)

Nevada
(5/26/2016)

New Hampshire
(7/11/2016)

New Jersey
(8/3/2016)

New Mexico
(7/8/2016)

New York
(7/8/2016)

North Carolina
(5/18/2016)

North Dakota
(7/8/2016)

Ohio
(2/8/2016)

Oklahoma
(7/8/2016)

Oregon
(5/13/2016)

Pennsylvania
(5/13/2016)

Puerto Rico
(2/9/2016)

Rhode Island
(5/31/2016)

South Carolina
(7/8/2016)

South Dakota
(6/7/2016)

Texas
(7/8/2016)

Utah
(7/8/2016)

Vermont
(6/9/2016)

Virginia
(5/13/2016)

Washington
(5/13/2016)

West Virginia
(7/14/2016)

Wisconsin
(5/19/2016)

Wyoming
(6/9/2016)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/4/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/23/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/9/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998 / SEC#: , 8-15648

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Beacon Street- 30th Floor, Boston, MA 02108

Mailing Address

One Beacon Street- 30th Floor, Boston, MA 02108

Phone number

(617) 832-8200

Established

Delaware since 05/21/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BOSTON PARTNERS	OWNER	124982
BOSTON PARTNERS	MANAGING MEMBER	124982
BUTTERLY, WILLIAM GEORGE	CHIEF LEGAL OFFICER	2357915
HEATHWOOD, PAUL DESMOND	CHIEF EXECUTIVE OFFICER	4123255
KIMBALL, MICHAEL THOMAS	CHIEF FINANCIAL OFFICER FINOP	5590417
REID, JASON LEE	CHIEF COMPLIANCE OFFICER	3178685

Disclosures

Regulatory Event	7
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Daniel J. Farren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel J Farren's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

ABN AMRO INCORPORATED

ABN AMRO SECURITIES LLC

CIBC WORLD MARKETS CORP.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2016

Series 63

Date: 12/8/2009

SIE

Date: 10/1/2018

Series 3

Date: 9/23/1996

Series 7

Date: 9/9/1996

FINRA

Current Firm

BOSTON PARTNERS SECURITIES, L.L.C.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BOSTON PARTNERS SECURITIES, L.L.C.

TRUST BUT VERIFY

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