Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Farrell is a registered representative with Raymond James & Associates, Inc. with over 18 years of experience in the financial services industry. James has previously worked with Stifel, Nicolaus & Company, Incorporated, Vining-Sparks IBG, LLC and ICBA Securities, all based in Memphis, Tennessee. James is licensed in Tennessee and currently holds Series 7, 63, 79TO and SIE licenses. James specializes in investment banking, financial planning, portfolio management for individuals, and portfolio management for 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.
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.
Please see note in schedule d - miscellaneous
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
FL
05/08/2024 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TN
04/22/2022 - 04/26/2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED (MEMPHIS TN)
TN
06/01/2005 - 04/22/2022
VINING-SPARKS IBG, LLC (MEMPHIS TN)
TN
06/01/2005 - 12/18/2018
ICBA SECURITIES (MEMPHIS TN)
BC
Issued 06/17/2005
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 05/31/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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