Liam James Farrell
Professional Summary
Liam James Farrell, who also goes by Liam James Farrell Mr., was a registered financial advisor. Liam was a previously registered financial professional and started their career in finance 2008 - 2012. Liam had worked at 3 firms and has passed the Series 63, Series 55, Series 37 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Liam James Farrell Mr.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST MARATHON (U.S.A.) INC. | NBF SECURITIES (USA) CORP. | NBC INTERNATIONAL (USA) INC.
Contact Information
Firm Type
Other Types of Legal FormationFiscal Year End
OctoberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NBF SECURITIES (USA) LTD | SHAREHOLDER | — |
| BADESKI, PAUL RAYMOND | MANAGING DIRECTOR AND HEAD OF FIXED INCOME SALES | 2821677 |
| HOFFMAN, JOAN ELLEN | INTERIM CHIEF COMPLIANCE OFFICER | 1565558 |
| KEEGAN, RANDALL MYLES | MANAGING DIRECTOR FIXED INCOME SALES | 2216467 |
| LANGLOIS, STYVES | SENIOR VICE-PRESIDENT AND MANAGING DIRECTOR - DESIGNATED PRINCIPAL/RETAIL REGISTERED PERSONNEL | 4379409 |
| LEGRIS, ALAIN | EXECUTIVE VICE-PRESIDENT | 2253876 |
| MORRIS, PAUL EDWARD | CHIEF FINANCIAL OFFICER | 1607225 |
| MULRONEY, MARK | CO-HEAD AND MD, INSTITUTIONAL EQUITIES TRADING | 4437210 |
| NICOSIA, FRANK | INTERIM SENIOR COMPLIANCE OFFICER | 2790594 |
| PASCOE, RICARDO ALEJANDRO | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2984919 |
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2008Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed May 2008Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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