Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen John Farrell is a registered representative with Scotia Capital (usa) Inc. based in New York, NY. Stephen has been in the financial industry since March 30, 2022. Stephen has passed the Series 63, Series 7TO, and SIE exams.
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.
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.
1
2
NY
03/31/2022 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
BC
Issued 04/12/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/10/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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