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Christopher Patrick Farley

Loop Capital Markets LLC

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About Christopher Patrick Farley

Christopher Farley is a financial advisor with over 30 years of experience in the financial services industry. Christopher has held various positions at prominent firms including R.W. Pressprich & Co., RBC Dain Rauscher Inc., Daiwa Securities America Inc., ABN AMRO Incorporated, Paribas Corporation, and Credit Suisse First Boston Corporation. Christopher currently works as a financial advisor at Loop Capital Markets LLC and holds Series 7, Series 79TO, and SIE licenses. Christopher is registered with the FINRA and is licensed to provide financial services in New York and Washington.

Firm Information

Christopher Farley is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Christopher Farley’s Registration & Firm History

NJ

09/16/2015 - Present

Loop Capital Markets LLC (Clark NJ)

NY

04/21/2008 - 09/08/2015

R.W.PRESSPRICH & CO. (NEW YORK NY)

NY

05/01/2006 - 10/08/2007

RBC DAIN RAUSCHER INC. (NEW YORK NY)

NY

05/02/2005 - 04/18/2006

DAIWA SECURITIES AMERICA INC. (NEW YORK NY)

CT

08/16/2000 - 02/25/2005

ABN AMRO INCORPORATED (STAMFORD CT)

NY

05/25/1999 - 08/22/2000

PARIBAS CORPORATION (NEW YORK NY)

NY

01/02/1997 - 04/09/1999

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

09/22/1987 - 01/09/1997

YAMAICHI INTERNATIONAL (AMERICA) INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/19/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christopher Patrick Farley.
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