William 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.
William E Farrell, who also goes by William Eugene Farrell, Bill Farrell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2014. William had worked at 5 firms and has passed the Series 66, SIE 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
July 12, 2017 - March 15, 2018
LBMZ SECURITIES, INC.
October 7, 2016 - May 1, 2018
ZACKS INVESTMENT MANAGEMENT, INC.
May 11, 2016 - September 23, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 10, 2016 - September 23, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 2, 2014 - March 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 2, 2014 - March 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 26, 2014 - November 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2014 - November 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
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
LBMZ SECURITIES, INC.
CRD#: 7874 / SEC#: , 8-23266
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
