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JF

Jaxon J. Farina

MUTUAL OF AMERICA SECURITIES LLC
Providence, RI 02903-2630
Some features on this profile are disabled
CRD#: 7086546
JF

Professional summary

Jaxon Joseph David Farina, who also goes by Jack Farina, Jax Farina, Jaxon Farina, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island.

Jaxon is registered as a RR (Registered Representative) and started their career in finance in 2019. Jaxon has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack Farina | Jax Farina | Jaxon Farina

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jaxon Joseph David Farina's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 1, 2020 - Present

MUTUAL OF AMERICA SECURITIES LLC

Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630
BD
CRD#: 27878
Providence, RI
Past

April 8, 2019 - October 15, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
WALNUT CREEK, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(10/20/2023)
RR
Maine
(1/31/2022)
RR
Massachusetts
(11/20/2021)
RR
New Hampshire
(11/20/2021)
RR
Rhode Island
(11/20/2021)
RR
Vermont
(11/20/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/8/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878 / SEC#: , 8-43278

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MUTUAL OF AMERICA HOLDING COMPANY LLCMEMBER
BAILEY, CHRISTOPHER DAVIDCHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER4582524
BRANT, DAVID ROBERTFINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO)2718478
GREGORY, IVAN BRUCEEXECUTIVE VICE PRESIDENT AND BOARD MANAGER4984456
JOHNSON, TROY SHERMANEXECUTIVE VICE PRESIDENT AND BOARD MANAGER3052097
MEDLIN, KYLE LAWRENCESENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER5496979
STEINGARTEN, BRIE ANNE ELIZABETHGENERAL COUNSEL AND SECRETARY5373977

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.

Company Information

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878Providence, RI 02903-2630

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