Kevin R. Farrelly
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.
Kevin Robert Farrelly was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2014 - August 17, 2015
GORDIAN INVESTMENTS, LLC
January 30, 2012 - June 13, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 19, 2010 - January 12, 2012
WJB CAPITAL GROUP, INC.
December 5, 2006 - July 15, 2010
THINKEQUITY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 4/11/2009
Limited Representative-Equity Trader ExamCurrent Firm
GORDIAN INVESTMENTS, LLC
CRD#: 158611 / SEC#: , 8-68911
Contact information
Documents
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.
