Kevin F. 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.
Kevin Francis Farrell, who also goes by Kevin F Farrell, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2015 - April 20, 2018
GROVE POINT INVESTMENTS, LLC
July 31, 2014 - September 22, 2014
ARDOUR CAPITAL INVESTMENTS, LLC
April 3, 2012 - August 1, 2013
ECHOTRADE LLC
October 5, 2010 - August 4, 2011
KEEFE, BRUYETTE & WOODS, INC.
April 2, 2008 - September 29, 2010
WEEDEN & CO.L.P.
October 30, 2006 - March 17, 2008
JEFFERIES LLC
March 22, 2006 - June 13, 2006
ACCESS SECURITIES, LLC
January 2, 2004 - October 26, 2005
FULCRUM GLOBAL PARTNERS LLC
December 4, 2002 - September 4, 2003
SCHONFELD SECURITIES, LLC
March 6, 2001 - September 17, 2001
FIRST NEW YORK SECURITIES L.L.C.
January 28, 2000 - March 8, 2001
BNP PARIBAS SECURITIES CORP.
June 7, 1999 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
January 20, 1999 - June 8, 1999
FIRST NEW YORK SECURITIES L.L.C.
October 21, 1997 - November 13, 1998
ABN AMRO SECURITIES LLC
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: 10/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 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.
