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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 is a financial advisor with New York Life Investment Management LLC. Thomas John Farrell is registered with the Securities and Exchange Commission and the state of Kansas. Thomas John Farrell has been in the financial services industry since 1999. Thomas John Farrell previously worked at Matrix 360 Distributors, LLC, Thornburg Securities Corporation, Funds Distributor, Inc., Victory Capital Advisors, Inc., and Janus Distributors LLC.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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
NY
04/23/2024 - Present
NEW York Life Investment Management LLC (NEW YORK NY)
KS
01/30/2020 - 04/16/2024
MATRIX 360 DISTRIBUTORS, LLC (FAIRWAY KS)
NM
08/15/2007 - 02/07/2018
THORNBURG SECURITIES CORPORATION (SANTA FE NM)
ME
03/02/2006 - 05/31/2007
FUNDS DISTRIBUTOR, INC. (PORTLAND ME)
OH
04/15/2004 - 05/31/2007
VICTORY CAPITAL ADVISERS, INC. (BROOKLYN OH)
CO
08/01/1999 - 02/23/2004
JANUS DISTRIBUTORS LLC (DENVER CO)
IA
Issued 09/10/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/07/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2001
Series 7 - General Securities Representative Examination
BC
Issued 06/08/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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