John R. 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 Robert Farrell was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 8 firms and has passed the Series 65 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
March 2, 2022 - December 31, 2023
FARRELL, JOHN ROBERT
September 8, 1998 - March 31, 2000
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 13, 1998 - September 3, 1998
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 16, 1995 - July 17, 1998
GUARDIAN INVESTOR SERVICES LLC
July 2, 1990 - July 17, 1998
GUARDIAN INVESTOR SERVICES LLC
April 3, 1990 - June 29, 1990
NEW ENGLAND SECURITIES
November 3, 1987 - March 14, 1990
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
December 24, 1979 - March 14, 1990
LEGG MASON WOOD WALKER, INCORPORATED
December 12, 1978 - January 25, 1980
C. T. WILLIAMS & CO., INC.
March 17, 1975 - October 10, 1980
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 3/12/1975
Registered Representative ExaminationCurrent Firm
FARRELL, JOHN ROBERT
CRD#: 121428 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 4,841,500 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
