Scott 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.
Scott Farrell was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2009. Scott had worked at 2 firms and has passed the Series 63, SIE, Series 82, Series 79 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
December 15, 2016 - January 3, 2019
JOSEPH CAPITAL, LLC
June 1, 2012 - December 24, 2014
JOSEPH CAPITAL, LLC
July 20, 2009 - November 9, 2009
JOHN THOMAS FINANCIAL
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
JOSEPH CAPITAL, LLC
CRD#: 120414 / SEC#: , 8-65293
Contact information
FINRA licenses (4 States and Territories)
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.
