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Michael James Farrell

BGC Financial, LP

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About Michael James Farrell

Michael James Farrell is a financial professional with over 25 years of experience in the industry. Michael is currently registered with BGC Financial, LP in Shrewsbury, NJ and has previously been registered with firms including Tullett Prebon Financial Services LLC, Tullett Liberty Securities LLC, Instinet Fixed Income Inc. and Intercapital Government Securities Inc. Michael holds Series 7, 63, 72 and SIE licenses. Michael's experience spans various areas of the financial services industry.

Firm Information

Michael Farrell is currently registered with BGC Financial, LP. BGC Financial, LP is a Partnership that was formed on April 2, 2008. They are registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have been involved in 36 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

132

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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Michael Farrell’s Registration & Firm History

NJ

05/17/2022 - Present

BGC Financial, LP (SHREWSBURY NJ)

NY

11/09/2009 - 04/07/2022

TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)

NY

08/17/2009 - 11/10/2009

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

08/22/2008 - 09/15/2009

TULLETT LIBERTY SECURITIES LLC (NEW YORK NY)

NY

04/15/2002 - 10/09/2008

TULLETT LIBERTY BROKERAGE INC. (NEW YORK NY)

NY

03/01/2000 - 04/15/2002

INSTINET FIXED INCOME INC. (NEW YORK NY)

NY

10/01/1999 - 07/28/2000

INSTINET CORPORATION (NEW YORK NY)

NY

08/13/1999 - 09/03/1999

INTERCAPITAL INTERNATIONAL INC. (NEW YORK NY)

NY

06/24/1996 - 09/03/1999

INTERCAPITAL GOVERNMENT SECURITIES INC. (NEW YORK NY)

NY

08/25/1999 - 08/31/1999

GARBAN LLC (NEW YORK NY)

NA

06/13/1996 - 07/13/1998

EXCO RMJ INTERNATIONAL INC.

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Licenses & Designations

BC

Issued 03/18/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Michael James Farrell. Review regulatory record here.
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