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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Carroll Farley has been in the financial services industry since September 14, 1987. John is currently registered with LPL Financial LLC, and is licensed in Rhode Island and Texas. John's previous registrations include Stifel, Nicolaus & Company, Incorporated, Advest, Inc., First Montauk Securities Corp., First American Capital Resources, Inc. and First Investors Corporation. John holds the Series 6, 7, 9, 10, 24, 53, 63 and 65 licenses and has completed the Securities Industry Essentials Examination. John provides financial planning, pension consulting, portfolio management for businesses and individuals, and educational seminars.
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.
1
2
RI
02/22/2022 - Present
LPL Financial LLC (PORTSMOUTH RI)
CT
11/30/2005 - 11/16/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (AVON CT)
CT
01/10/1990 - 12/20/2005
ADVEST, INC. (AVON CT)
NJ
12/14/1988 - 10/14/1989
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
NA
04/13/1988 - 12/14/1988
FIRST AMERICAN CAPITAL RESOURCES, INC.
NA
06/03/1987 - 03/26/1988
FIRST INVESTORS CORPORATION
IA
Issued 06/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/20/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/13/2000
Series 4 - Registered Options Principal Examination
BC
Issued 07/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/22/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/24/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
BC
Issued 06/02/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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