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James Patrick Farrell

Nylife Distributors LLC

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About James Patrick Farrell

James Patrick Farrell has been in the financial services industry since August 12, 1990. James is currently registered with Nylife Distributors LLC. Prior to his current position, James was employed by Prudential Investment Management Services LLC, Bear, Stearns & Co. Inc., PaineWebber Incorporated, Kidder, Peabody & Co. Incorporated, Lehman Brothers Inc., Clayton Brown & Associates, Inc., and Citicorp Financial Services, Inc. James holds Series 7, Series 63 and Series 65 licenses.

Firm Information

James Farrell is currently registered with Nylife Distributors LLC. Nylife Distributors LLC is a Limited Liability Company that was formed in October 2003. The company is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

300

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.

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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James Farrell’s Registration & Firm History

NY

10/25/2002 - Present

Nylife Distributors LLC (NEW YORK NY)

NJ

07/01/1998 - 06/28/2002

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NY

02/21/1995 - 06/12/1998

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NJ

01/28/1995 - 02/13/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/10/1993 - 01/28/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

04/21/1992 - 02/22/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

IL

02/06/1990 - 10/01/1991

CLAYTON BROWN & ASSOCIATES, INC. (CHICAGO IL)

NA

09/20/1989 - 01/20/1990

CITICORP FINANCIAL SERVICES,INC.

IL

01/24/1989 - 06/13/1989

CLAYTON BROWN & ASSOCIATES, INC. (CHICAGO IL)

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Licenses & Designations

IA

Issued 03/04/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/28/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Patrick Farrell.
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