Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bret? Claim Your ProfileBret Dale Farrington is a financial advisor with over 23 years of experience in the industry. Bret currently works for Wells Fargo Clearing Services, LLC. Prior to joining Wells Fargo, Bret was employed by J.P. Morgan Securities LLC and Piper Jaffray & Co.. Bret is registered as a broker-dealer and investment advisor. Bret holds the Series 7, Series 63, Series 65 and Series 66 licenses. Bret specializes in providing investment advice to individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MN
03/04/2013 - Present
Wells Fargo Clearing Services, LLC (BLOOMINGTON MN)
MN
10/01/2008 - 03/20/2013
J.P. MORGAN SECURITIES LLC (MINNEAPOLIS MN)
MN
11/20/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (MINNEAPOLIS MN)
MN
03/12/2001 - 01/07/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
CA
07/12/1999 - 03/05/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
ME
06/10/1997 - 07/12/1999
FORUM FINANCIAL SERVICES, INC. (PORTLAND ME)
MN
08/16/1996 - 06/19/1997
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
BOTH
Issued 12/07/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/28/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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