Paul J. Farrington
Professional summary
Paul Joseph Farrington is a registered financial professional currently at JONESTRADING located in Thousand Oaks, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Joseph Farrington's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2006 - Present
JONESTRADING
Office #1: 555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360July 27, 2001 - August 25, 2006
TRUIST SECURITIES, INC.
August 28, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
August 19, 1999 - July 6, 2000
J.C. BRADFORD & CO.
February 17, 1998 - September 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
June 25, 1997 - January 30, 1998
WINGSPAN INVESTMENT SERVICES
January 28, 1997 - June 18, 1997
MCDONNELL, 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
(9/5/2006)
(9/5/2006)
(9/5/2006)
(9/5/2006)
(9/5/2006)
(5/31/2017)
(11/16/2012)
(9/5/2006)
(12/20/2013)
(9/5/2006)
(2/2/2010)
(9/5/2006)
(3/25/2009)
(10/22/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/17/2006
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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Company Information
JONESTRADING
CRD#: 6888Thousand Oaks, CA 91360TRUST BUT VERIFY
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