Thomas J. Mcfarland
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.
Thomas James Mcfarland III, who also goes by Thomas James Mcfarland, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 2 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 1994 - December 31, 2022
DARROW WEALTH MANAGEMENT
May 14, 1990 - April 3, 1991
ROBERT THOMAS SECURITIES, INC
July 28, 1987 - January 24, 1990
IMF SECURITIES CORPORATION
August 20, 1986 - July 14, 1987
MBA EQUITY INVESTMENT CORPORATION
March 24, 1981 - June 17, 1981
A. G. BECKER INCORPORATED
March 24, 1981 - August 25, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 1980 - April 18, 1981
INTEGRATED RESOURCES EQUITY CORPORATION
October 29, 1979 - December 21, 1980
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 3, 1977 - March 16, 1979
INDUSTRY SAVINGS PLANS, INC.
Primary Firm SEC Registration
DARROW WEALTH MANAGEMENT
CRD#: 105679 / SEC#: 801-34359
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 2
Date: 11/28/1995
Non-Member General Securities ExaminationSeries 40
Date: 2/26/1977
Registered Principal ExaminationCurrent Firm
DARROW WEALTH MANAGEMENT
CRD#: 105679 / SEC#: 801-34359
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 308,122,093 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 07/22/2024 | ||
| 03/02/2024 | ||
| 02/02/2023 |
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.
