Todd M. 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.
Todd Michael Farrell was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2002. Todd had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - March 3, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 13, 2014 - March 3, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 7, 2013 - July 29, 2014
RDA FINANCIAL NETWORK
February 5, 2013 - September 3, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 29, 2005 - February 8, 2013
HEARTLAND INVESTMENT ASSOCIATES, INC.
July 22, 2004 - June 24, 2005
NATIONS FINANCIAL GROUP, INC.
July 13, 2004 - June 24, 2005
NATIONS FINANCIAL GROUP, INC.
December 9, 2003 - July 20, 2004
PRUCO SECURITIES, LLC.
September 9, 2003 - December 3, 2003
SUNSET FINANCIAL SERVICES, INC.
August 29, 2003 - December 3, 2003
SUNSET FINANCIAL SERVICES, INC.
September 19, 2002 - April 28, 2003
IDS LIFE INSURANCE COMPANY
September 19, 2002 - April 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 17, 2002 - April 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
