Thomas J. Farrell

ASPIRE PRIVATE CAPITAL

Cornelius, NC 28031

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CRD#: 5548777

Professional summary

Thomas James Farrell, CFP®, who also goes by Thomas J Farrell, Tj Farrell, is a registered financial advisor currently at ASPIRE PRIVATE CAPITAL located in Cornelius, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Thomas has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas J Farrell | Tj Farrell

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.

INDEPENDENT INSURANCE SALES AGENT - INVESTMENT-RELATED - INSURANCE AND ANNUITY PRODUCT SALES - START DATE 04/2014 - 80 HOURS/MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James 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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

May 13, 2014 - Present

ASPIRE PRIVATE CAPITAL

Office #1: 19410 Jetton Road Suite 110, Cornelius, NC 28031

RIA

CRD#: 154116

Cornelius, NC

Past

October 21, 2014 - June 12, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CORNELIUS, NC

Past

September 28, 2011 - April 16, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

September 28, 2011 - April 16, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

August 20, 2008 - September 12, 2011

EDWARD JONES

RIA

CRD#: 250

DENVER, NC

Past

August 1, 2008 - September 12, 2011

EDWARD JONES

CRD#: 250

DENVER, NC

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".

ASPIRE PRIVATE CAPITAL

ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC

CRD#: 154116 / SEC#: 801-113754

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

Florida

Registered Investment Advisory firm - (8/15/2018 Terminated)

Georgia

Registered Investment Advisory firm - (10/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (8/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (8/15/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(5/13/2014)

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

IAR

Series 65

Date: 11/14/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/15/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/31/2008

General Securities Representative Examination

Current Firm

ASPIRE PRIVATE CAPITAL

ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC

CRD#: 154116 / SEC#: 801-113754

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

Florida

Registered Investment Advisory firm - (8/15/2018 Terminated)

Georgia

Registered Investment Advisory firm - (10/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (8/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (8/15/2018 Terminated)

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Contact information

Main Address

19410 Jetton Road Suite 110, Cornelius, NC 28031

Mailing Address

Phone number

(704) 237-9927

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASPIRE PRIVATE CAPITAL ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,701
AUM (Assets Under Management)	$ 455,692,609

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ASPIRE PRIVATE CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2014

Series 66

Date: 8/15/2008

Series 7

Date: 7/31/2008

Current Firm

ASPIRE PRIVATE CAPITAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPIRE PRIVATE CAPITAL

TRUST BUT VERIFY

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