Michael K. 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.
Michael Kevin Farrell, who also goes by Mike Farrell, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 14 firms and has passed the Series 63 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
December 12, 2005 - December 5, 2006
CITISTREET EQUITIES LLC
July 20, 2005 - September 26, 2005
TL&A INSURANCE DISTRIBUTION LLC
July 20, 2005 - December 12, 2006
MLI DISTRIBUTION LLC
July 12, 2005 - June 8, 2012
TOWER SQUARE SECURITIES, INC.
December 11, 2004 - June 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
November 17, 2004 - June 8, 2012
NEW ENGLAND SECURITIES
September 3, 2003 - June 8, 2012
WALNUT STREET SECURITIES, INC.
August 12, 2002 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
September 25, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 25, 2001 - June 8, 2012
MSI FINANCIAL SERVICES, INC.
June 1, 1998 - September 5, 2001
VOYA FINANCIAL ADVISORS, INC.
January 1, 1997 - June 1, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 1, 1993 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
January 1, 1993 - July 10, 1998
METROPOLITAN LIFE INSURANCE COMPANY
August 4, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 17, 1978 - September 17, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
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: 7/10/1978
Registered Representative ExaminationCurrent Firm
CITISTREET EQUITIES LLC
CRD#: 7447 / SEC#: , 8-21009
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
