Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Tyrone Farley is a financial advisor at RBC Capital Markets, LLC with over 30 years of experience in the industry. Patrick has a strong track record of providing investment advice and portfolio management services to a wide range of clients, including individuals, families, businesses, and institutions. Patrick is also a registered investment advisor, which means he is held to a higher standard of fiduciary duty than many other financial advisors. Patrick has extensive knowledge of the financial markets and is committed to helping clients achieve their financial goals. Patrick earned a Series 7, Series 10, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials (SIE) exam.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
08/28/2019 - Present
RBC Capital Markets, LLC (Greenbrae CA)
CA
03/02/2001 - 08/29/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MILL VALLEY CA)
NY
07/31/1993 - 03/14/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/23/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/02/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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