Mark E. Farrell

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

HOUSTON, TX 77002

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CRD#: 4520281

Professional summary

Mark Edward Farrell is a registered financial advisor currently at VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. located in Houston, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 2 firms and has passed the Series 63 exam.

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 Mark Edward 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®

None

Experience

Current

December 20, 2000 - Present

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

Office #1: 600 Travis Suite 5800, Houston, TX 77002

RIA

CRD#: 106975

HOUSTON, TX

Past

May 15, 2000 - March 26, 2014

VAUGHAN NELSON TRUST COMPANY

RIA

CRD#: 105782

HOUSTON, TX

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".

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

VAUGHAN NELSON | VNIM | VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP | VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

CRD#: 106975 / SEC#: 801-51795

RIA

Registered Investment Advisory firm - (4/25/1996 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

Texas
(12/20/2000)

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: 12/13/1999

Uniform Securities Agent State Law Examination

Current Firm

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

VAUGHAN NELSON | VNIM | VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP | VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

CRD#: 106975 / SEC#: 801-51795

RIA

Registered Investment Advisory firm - (4/25/1996 Approved)

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Contact information

Main Address

600 Travis, Suite 3800, Houston, TX 77002-3071

Mailing Address

180 North Stetson Ave, Suite 5525, Chicago, IL 60601

Phone number

(713) 224-2545

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 VN BROCHURE 2025-03-31 PART 2A - W-SMC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	416
AUM (Assets Under Management)	$ 15,867,901,203

Red Flags

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

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Mark E. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

VAUGHAN NELSON TRUST COMPANY

Primary Firm SEC Registration

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1999

Current Firm

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

TRUST BUT VERIFY

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