James C. 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.
James Coleman Farrell, who also goes by Jamie Farrell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - December 3, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 16, 2015 - May 1, 2015
KBS CAPITAL MARKETS GROUP LLC
November 29, 2011 - March 25, 2015
ZACKS INVESTMENT MANAGEMENT, INC.
March 14, 2011 - March 10, 2015
LBMZ SECURITIES, INC.
February 8, 2011 - March 4, 2011
BIC DISTRIBUTORS, LLC
February 24, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
October 26, 2000 - November 18, 2010
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 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.
