Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas John Farrell has been in the financial services industry since May 16, 1995. Thomas Farrell is currently registered with Charles Schwab & CO., Inc. and has been with the firm since February 2013. Thomas Farrell is licensed to provide investment advice in multiple states and holds licenses in both the brokerage and investment advisory fields. He is a registered representative, investment advisor representative, and has earned several industry certifications. Thomas Farrell is also a registered principal with Charles Schwab & CO., Inc..
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
01/02/2019 - Present
Charles Schwab & CO., Inc. (Tampa FL)
FL
04/29/1996 - 06/14/2010
CHARLES SCHWAB & CO., INC. (TAMPA FL)
NY
05/25/1995 - 01/05/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/12/1993 - 10/18/1994
NATIONSSECURITIES
NY
09/27/1991 - 07/12/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 03/15/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/25/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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