John G. 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.
John Gary Farrell was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 6 firms and has passed the Series 63, Series 15, Series 5 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
November 9, 1989 - August 10, 1990
USA CAPITAL
March 1, 1989 - July 25, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
January 14, 1988 - June 21, 1988
USA CAPITAL
October 10, 1986 - December 10, 1987
RAUSCHER PIERCE REFSNES, INC.
February 1, 1983 - December 8, 1986
PRUDENTIAL EQUITY GROUP, LLC
October 5, 1981 - February 25, 1983
MORGAN STANLEY DW INC.
May 22, 1980 - October 28, 1981
UBS FINANCIAL SERVICES INC.
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/6/1982
Interest Rate Options ExaminationCurrent Firm
USA CAPITAL
CRD#: 16634 / SEC#: , 8-34294
Contact information
Documents
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.
