Michael J. Farrington

GRADIENT SECURITIES

Arden Hills, MN 55126

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CRD#: 4142373

Professional summary

Michael James Farrington, who also goes by Mike James Farrington, Mike Farrington, Michael Farrington, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike James Farrington | Mike Farrington | Michael Farrington

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.

RIA REGISTRAR, LLC; NOT INVESTMENT RELATED; 4105 LEXINGTON AVE N, ARDEN HILLS, MN 55126; COMPLIANCE CONSULTING; DIRECTOR OF COMPLIANCE; START 09/2019; 160 HOURS PER MONTH; 140 HOURS DURING SECURITIES TRADING HOURS; COMPLIANCE CONSULTING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Farrington's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael James Farrington'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

March 23, 2017 - Present

GRADIENT SECURITIES, LLC

Office #1: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126Office #2: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126

RIA

CRD#: 127701

Arden Hills, MN

Current

March 23, 2017 - Present

GRADIENT SECURITIES, LLC

Office #1: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126Office #2: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

RIA

CRD#: 127701

Arden Hills, MN

Past

January 29, 2014 - July 31, 2015

FINTEGRA, LLC

RIA

CRD#: 16741

MINNEAPOLIS, MN

Past

October 30, 2007 - July 31, 2015

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

September 15, 2006 - October 22, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MINNEAPOLIS, MN

Past

November 9, 2000 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

March 10, 2000 - November 3, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 10, 2000 - November 3, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

Minnesota
(3/23/2017)

IAR

Minnesota
(3/23/2017)

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 66

Date: 2/10/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/21/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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

Michael J. Farrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Farrington's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael James Farrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

FINTEGRA, LLC

FINTEGRA, LLC

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2003

Series 63

Date: 3/31/2000

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2000

Series 53

Date: 10/21/2005

Series 24

Date: 10/5/2004

FINRA

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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