Thomas W. Farrell

WITHUM WEALTH MANAGEMENT

Whippany, NJ 07981

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CRD#: 3250992

Professional summary

Thomas William Farrell, CFP®, who also goes by Thomas W Farrell, Tom Farrell, is a registered financial advisor currently at WITHUM WEALTH MANAGEMENT located in Whippany, New Jersey and PINNACLE ASSOCIATES, LTD. located in Whippany, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 6 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas W Farrell | Tom Farrell

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) - RIA

Click below to view Thomas William Farrell'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

April 23, 2015 - Present

WITHUM WEALTH MANAGEMENT

Office #1: 200 Jefferson Park 4th Floor, Whippany, NJ, 07981

RIA

CRD#: 158332

Whippany, NJ

Current

February 3, 2017 - Present

PINNACLE ASSOCIATES, LTD.

Office #1: 200 Jefferson Park 4th Floor, Whippany, NJ 07981

RIA

CRD#: 110631

Whippany, NJ

Past

November 21, 2003 - September 23, 2014

REGENTATLANTIC

RIA

CRD#: 105995

CHATHAM, NJ

Past

January 27, 2000 - April 28, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 27, 2000 - April 28, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 15, 1999 - January 13, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

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".

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(4/23/2015)

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.

Exams

State Security Law Exam

Series 63

Date: 7/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/13/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 Approved)

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Contact information

Main Address

286 Madison Avenue 20th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 652-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE ASSOCIATES LTD. FORM ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,429
AUM (Assets Under Management)	$ 9,866,562,515

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/14/2025	Cover Page	Report
01/11/2024	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas W. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PINNACLE ASSOCIATES, LTD.

REGENTATLANTIC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

PINNACLE ASSOCIATES, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1999

Series 6

Date: 11/13/1999

Current Firm

PINNACLE ASSOCIATES, LTD.

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PINNACLE ASSOCIATES, LTD.

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