Thomas J. Farrell

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Olathe, KS

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CRD#: 3235191

Professional summary

Thomas John Farrell III, who also goes by Thomas John Farrell III, Thomas J Miller, Thomas John Miller, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Olathe, Kansas and NYLIFE DISTRIBUTORS LLC located in Hingham, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas John Farrell Iii | Thomas J Miller | Thomas John Miller

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.

Stringer Asset Manager - 02/2020; Sales Director; Investment related - YES, 40 hours/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Farrell III'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

April 23, 2024 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Olathe, KS

Current

April 23, 2024 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Hingham, MA

Past

February 6, 2020 - April 16, 2024

STRINGER ASSET MANAGEMENT, LLC

RIA

CRD#: 166133

Olathe, KS

Past

January 30, 2020 - April 16, 2024

MATRIX 360 DISTRIBUTORS, LLC

CRD#: 159715

FAIRWAY, KS

Past

September 13, 2018 - August 15, 2019

ASPYRE WEALTH PARTNERS

RIA

CRD#: 107212

OVERLAND PARK, KS

Past

August 29, 2007 - February 7, 2018

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

OVERLAND PARK, KS

Past

August 15, 2007 - August 28, 2007

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

August 15, 2007 - February 7, 2018

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

March 2, 2006 - May 31, 2007

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

November 14, 2005 - June 1, 2007

VICTORY CAPITAL MANAGEMENT INC.

RIA

CRD#: 106189

CLEVELAND, OH

Past

April 15, 2004 - May 31, 2007

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

August 1, 1999 - February 23, 2004

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(2/19/2025)

Iowa
(4/29/2024)

Kansas
(4/23/2024)

IAR

Kansas
(4/23/2024)

Missouri
(4/23/2024)

Nebraska
(4/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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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Firm Stability Insights

Thomas J. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Farrell III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

STRINGER ASSET MANAGEMENT, LLC

MATRIX 360 DISTRIBUTORS, LLC

ASPYRE WEALTH PARTNERS

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

FUNDS DISTRIBUTOR, LLC

VICTORY CAPITAL MANAGEMENT INC.

VICTORY CAPITAL SERVICES, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2005

Series 63

Date: 7/20/1999

Series 7TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 2/7/2018

Series 7

Date: 1/23/2001

Series 6

Date: 6/8/1999

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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