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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Andrew Farrell is a financial advisor with over 20 years of experience in the industry. David is currently registered with LPL Financial LLC. David has held previous registrations with LPL FINANCIAL LLC, J.P. MORGAN SECURITIES INC., BANC ONE SECURITIES CORPORATION, MARQUIS INVESTMENTS, L.L.C., and FIRST INVESTORS CORPORATION. David has passed the Series 6, 7, 55, 63, 65 and 66 exams as well as the SIE exam. David holds a Certified Financial Planner designation. David is currently registered in Arizona, California, Colorado, Florida, Idaho, Illinois, Indiana, Iowa, Louisiana, Michigan, Minnesota, Mississippi, Missouri, Nebraska, New Hampshire, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Washington and Wisconsin. David is also registered as an Investment Advisor Representative in Illinois and Texas. David has a total of 24 state registrations and 1 IA state registration. David is licensed in Illinois and Texas. David is also registered with FINRA.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
IL
02/04/2025 - Present
LPL Financial LLC (WHEATON IL)
IL
11/05/2009 - 07/31/2015
LPL FINANCIAL LLC (GLEN ELLYN IL)
WI
07/01/2006 - 03/19/2008
J.P. MORGAN SECURITIES INC. (GREEN BAY WI)
WI
09/19/2005 - 07/01/2006
BANC ONE SECURITIES CORPORATION (GREEN BAY WI)
IL
08/19/1998 - 10/03/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NA
08/03/1998 - 08/25/1998
BANC ONE SECURITIES CORPORATION
NA
11/14/1996 - 08/19/1998
MARQUIS INVESTMENTS, L.L.C.
NJ
05/24/1994 - 11/17/1994
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 09/27/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2005
Series 7 - General Securities Representative Examination
BC
Issued 01/12/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/23/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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