Jerome E. 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.
Jerome Edgar Farrell, who also goes by Jerry Edgar Farrell Sr, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1972. Jerome had worked at 14 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2006 - June 15, 2007
WORKMAN SECURITIES CORPORATION
September 21, 2005 - October 26, 2005
PACKERLAND BROKERAGE SERVICES, INC.
February 7, 2005 - August 31, 2005
KINGSBURY CAPITAL, INC.
July 1, 2002 - January 31, 2005
WATERSTONE FINANCIAL GROUP, INC.
June 3, 1994 - July 19, 2002
OAK BROOK SECURITIES CORP.
May 11, 1994 - June 1, 1994
OAK BROOK SECURITIES CORP.
June 5, 1985 - May 18, 1994
DREHER & ASSOCIATES, INC.
April 11, 1984 - November 14, 1985
FREEMAN FINANCIAL SERVICES CORPORATION
October 25, 1983 - March 15, 1984
INVESTORS BROKERAGE SERVICES, INC.
March 8, 1976 - March 8, 1977
INVESTMENT AND SECURITIES, INC.
June 25, 1975 - December 22, 1983
JNL EQUITY CORP.
June 19, 1975 - November 27, 1975
SECURITY COUNCELORS INC
December 18, 1973 - June 21, 1975
SFC EQUITIES INC.
January 11, 1973 - January 24, 1974
PSC SECURITIES, INC.
August 15, 1972 - January 18, 1973
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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
Series 1
Date: 8/9/1972
Registered Representative ExaminationCurrent Firm
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
