John C Farni
Professional Summary
John C Farni is a registered financial advisor currently at QUANTITATIVE ASSET MANAGEMENT, LLC located in Minnetonka, Minnesota. John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
QUANTITATIVE ASSET MANAGEMENT, LLC
Contact Information
Main Address
4350 Baker Road Suite 160, Minnetonka, MN 55343Phone Number
(952) 476-7855# of Employees
2SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
155AUM (Assets Under Management)
$187,409,295Similar Advisors
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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.
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Primary Firm SEC Registration
QUANTITATIVE ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(10/22/2015)
(10/27/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view John C Farni's CRS (Customer Relationship Summary).
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