DF
Douglas C. Farrington
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
PHILADELPHIA, PA 19103-7098
Some features on this profile are disabled
CRD#: 6443926
DF
Professional summary
Douglas Charles Farrington, who also goes by Douglas Farrington, is a registered financial advisor currently at MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST located in Philadelphia, Pennsylvania and DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Douglas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Farrington
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.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Charles Farrington's 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®
NoneExperience
Current
April 20, 2020 - Present
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
Office #1: 2005 Market Street, Philadelphia, PA 19103-7098RIA
CRD#: 105390
PHILADELPHIA, PA
Current
August 8, 2016 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106BD
CRD#: 14232
Philadelphia, PA
Past
May 24, 2017 - April 20, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
RIA
CRD#: 152237
PHILADELPHIA, PA
Past
April 9, 2015 - July 29, 2016
RS FUNDS DISTRIBUTOR LLC
BD
CRD#: 165753
VILLANOVA, PA
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".
MI
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE INVESTMENT MANAGEMENT ADVISERS | MACQUARIE ASSET ADVISERS | MACQUARIE ALTERNATIVE STRATEGIES | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE INVESTMENTS FUND ADVISERS | DELAWARE CAPITAL MANAGEMENT
CRD#: 105390 / SEC#: 801-32108
RIA
Registered Investment Advisory firm - (5/31/1988 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/8/2016)
RR
Alaska(8/8/2016)
RR
Arizona(8/8/2016)
RR
Arkansas(8/8/2016)
RR
California(8/8/2016)
RR
Colorado(8/8/2016)
RR
Connecticut(8/8/2016)
RR
Delaware(8/8/2016)
RR
District of Columbia(8/8/2016)
RR
Florida(8/8/2016)
RR
Georgia(8/8/2016)
RR
Hawaii(8/8/2016)
RR
Idaho(8/8/2016)
RR
Illinois(8/8/2016)
RR
Indiana(8/8/2016)
RR
Iowa(8/8/2016)
RR
Kansas(8/8/2016)
RR
Kentucky(8/8/2016)
RR
Louisiana(8/8/2016)
RR
Maine(8/8/2016)
RR
Maryland(8/8/2016)
RR
Massachusetts(8/8/2016)
RR
Michigan(8/8/2016)
RR
Minnesota(8/8/2016)
RR
Mississippi(8/8/2016)
RR
Missouri(8/8/2016)
RR
Montana(8/8/2016)
RR
Nebraska(8/8/2016)
RR
Nevada(8/8/2016)
RR
New Hampshire(8/8/2016)
RR
New Jersey(8/8/2016)
IAR
New Jersey(4/20/2020)
RR
New Mexico(8/8/2016)
RR
New York(8/8/2016)
RR
North Carolina(8/8/2016)
RR
North Dakota(8/8/2016)
RR
Ohio(8/8/2016)
RR
Oklahoma(8/8/2016)
RR
Oregon(8/8/2016)
RR
Pennsylvania(8/8/2016)
IAR
Pennsylvania(4/20/2020)
RR
Puerto Rico(8/8/2016)
RR
Rhode Island(8/8/2016)
RR
South Carolina(8/8/2016)
RR
South Dakota(8/8/2016)
RR
Tennessee(8/8/2016)
RR
Texas(8/8/2016)
RR
Utah(8/8/2016)
RR
Vermont(8/8/2016)
RR
Virgin Islands(8/8/2016)
RR
Virginia(8/8/2016)
RR
Washington(8/8/2016)
RR
West Virginia(8/8/2016)
RR
Wisconsin(8/8/2016)
RR
Wyoming(8/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE INVESTMENT MANAGEMENT ADVISERS | MACQUARIE ASSET ADVISERS | MACQUARIE ALTERNATIVE STRATEGIES | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE INVESTMENTS FUND ADVISERS | DELAWARE CAPITAL MANAGEMENT
CRD#: 105390 / SEC#: 801-32108
RIA
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Contact information
Main Address
610 Market Street, Philadelphia, PA 19106
Mailing Address
Phone number
(215) 255-2300
Established
Firm type
Fiscal year end
# of Employees
598
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 317 |
| AUM (Assets Under Management) | $ 164,320,917,908 |
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.
