John C. Farni

QUANTITATIVE ASSET MANAGEMENT

MINNETONKA, MN 55343

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CRD#: 4280441

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 John C Farni'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

October 22, 2015 - Present

QUANTITATIVE ASSET MANAGEMENT, LLC

Office #1: 4350 Baker Road Suite 160, Minnetonka, MN 55343

RIA

CRD#: 143279

MINNETONKA, MN

Past

April 14, 2005 - October 28, 2015

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

WAYZATA, MN

Past

January 28, 2002 - October 28, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

WAYZATA, MN

Past

June 15, 2001 - January 18, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 1, 2001 - January 22, 2002

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

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".

QUANTITATIVE ASSET MANAGEMENT, LLC

CRD#: 143279 / SEC#: 801-67607

RIA

Registered Investment Advisory firm - (3/15/2007 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

Minnesota
(10/22/2015)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 2/14/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2000

General Securities Representative Examination

Current Firm

QUANTITATIVE ASSET MANAGEMENT, LLC

CRD#: 143279 / SEC#: 801-67607

RIA

Registered Investment Advisory firm - (3/15/2007 Approved)

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Contact information

Main Address

4350 Baker Road Suite 160, Minnetonka, MN 55343

Mailing Address

Phone number

(952) 476-7855

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B FEBRUARY 25 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 163,575,632

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

John C. Farni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John C Farni's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

QUANTITATIVE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2002

Series 63

Date: 5/16/2001

SIE

Date: 10/28/2015

Series 7

Date: 12/28/2000

Current Firm

QUANTITATIVE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUANTITATIVE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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