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CF

Colleen E. Farley

ROBBINS FARLEY
Bedford, NH 03110
Some features on this profile are disabled
CRD#: 4886461
CF

Professional summary

Colleen Eleanor Farley, who also goes by Colleen E Casey, Colleen E Farley, is a registered financial advisor currently at ROBBINS FARLEY LLC located in Bedford, New Hampshire.

Colleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Colleen has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Colleen E Casey | Colleen E Farley

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 Colleen Eleanor Farley'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

March 30, 2017 - Present

ROBBINS FARLEY LLC

Office #1: 6 Bedford Farms Drive Suite 112, Bedford, NH 03110
RIA
CRD#: 286581
Bedford, NH
Past

April 16, 2012 - April 3, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
MANCHESTER, NH
Past

April 16, 2012 - April 3, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
MANCHESTER, NH
Past

June 1, 2009 - April 23, 2012

MORGAN STANLEY

RIA
CRD#: 149777
MANCHESTER, NH
Past

June 1, 2009 - April 23, 2012

MORGAN STANLEY

BD
CRD#: 149777
MANCHESTER, NH
Past

September 14, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MANCHESTER, NH
Past

August 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MANCHESTER, NH

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".
RF
ROBBINS FARLEY LLC
RAMSAY FRASER LLC | ROBBINS FARLEY LLC

CRD#: 286581 / SEC#: 801-118427

RIA
Registered Investment Advisory firm - (4/14/2020 Approved)
Florida
Registered Investment Advisory firm - (4/22/2020 Terminated)
Massachusetts
Registered Investment Advisory firm - (5/8/2020 Terminated)
New Hampshire
Registered Investment Advisory firm - (5/18/2020 Terminated)
Texas
Registered Investment Advisory firm - (4/22/2020 Terminated)

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
New Hampshire
(3/30/2017)
IAR
Texas
(10/9/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2012
General Securities Principal Examination

Current Firm

RF
ROBBINS FARLEY LLC
RAMSAY FRASER LLC | ROBBINS FARLEY LLC

CRD#: 286581 / SEC#: 801-118427

RIA
Registered Investment Advisory firm - (4/14/2020 Approved)
Florida
Registered Investment Advisory firm - (4/22/2020 Terminated)
Massachusetts
Registered Investment Advisory firm - (5/8/2020 Terminated)
New Hampshire
Registered Investment Advisory firm - (5/18/2020 Terminated)
Texas
Registered Investment Advisory firm - (4/22/2020 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6 Bedford Farms Drive Suite 112, Bedford, NH 03110
Mailing Address
Phone number
(603) 703-0255
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/19/2025)

Regulatory assets under management

Total Number of Accounts680
AUM (Assets Under Management)$ 225,082,765

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.

Company Information

ROBBINS FARLEY LLC

CRD#: 286581Bedford, NH 03110

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