JF
John P. Farley
EATON VANCE DISTRIBUTORS
BOSTON, MA 02109
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CRD#: 3190276
JF
Professional summary
John Phillip Farley, who also goes by John Phillip Farley, John Farley, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Phillip Farley | John Farley
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.
CRS (Client Relationship Summary) - BD
Click below to view John Phillip Farley's 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®
NoneExperience
Current
March 25, 2019 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: One Post Office Square, Boston, MA 02109BD
CRD#: 37731
BOSTON, MA
Past
November 13, 2014 - March 8, 2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
Boston, MA
Past
August 27, 1999 - October 4, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 27, 1999 - October 4, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 6, 1999 - September 3, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/25/2019)
RR
Alaska(3/25/2019)
RR
Arizona(3/25/2019)
RR
Arkansas(3/25/2019)
RR
California(3/25/2019)
RR
Colorado(3/25/2019)
RR
Connecticut(3/25/2019)
RR
Delaware(3/25/2019)
RR
District of Columbia(3/25/2019)
RR
Florida(3/25/2019)
RR
Georgia(3/25/2019)
RR
Hawaii(3/25/2019)
RR
Idaho(3/25/2019)
RR
Illinois(3/25/2019)
RR
Indiana(3/25/2019)
RR
Iowa(3/25/2019)
RR
Kansas(3/25/2019)
RR
Kentucky(3/25/2019)
RR
Louisiana(3/25/2019)
RR
Maine(3/25/2019)
RR
Maryland(3/25/2019)
RR
Massachusetts(3/25/2019)
RR
Michigan(3/25/2019)
RR
Minnesota(3/25/2019)
RR
Mississippi(3/25/2019)
RR
Missouri(3/25/2019)
RR
Montana(3/25/2019)
RR
Nebraska(3/25/2019)
RR
Nevada(3/25/2019)
RR
New Hampshire(3/25/2019)
RR
New Jersey(3/25/2019)
RR
New Mexico(3/25/2019)
RR
New York(3/25/2019)
RR
North Carolina(3/25/2019)
RR
North Dakota(3/25/2019)
RR
Ohio(3/25/2019)
RR
Oklahoma(3/25/2019)
RR
Oregon(3/25/2019)
RR
Pennsylvania(3/25/2019)
RR
Rhode Island(3/25/2019)
RR
South Carolina(3/25/2019)
RR
South Dakota(3/25/2019)
RR
Tennessee(3/25/2019)
RR
Texas(3/25/2019)
RR
Utah(3/25/2019)
RR
Vermont(3/25/2019)
RR
Virginia(3/25/2019)
RR
Washington(3/25/2019)
RR
West Virginia(3/25/2019)
RR
Wisconsin(3/25/2019)
RR
Wyoming(3/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EATON VANCE DISTRIBUTORS, INC.
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(617) 482-8260
Established
Massachusetts since 07/15/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
Company Information
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731Boston, MA 02109TRUST BUT VERIFY
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