Thomas Farrell is a registered investment advisor, based in New York, NY, with 25 years of industry experience.
Location
51 Madison Avenue, New York, NY, 10010
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Regulatory History (1)
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Criminal
August 1994Final Disposition
Employment History
Current Registrations
Nylife Distributors LLC
April 2024 - Present · 2 yrs 1 mo
New York Life Investment Management LLC
April 2024 - Present · 2 yrs 1 mo
Nylife Distributors LLCBroker
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Stringer Asset Management, LLC
February 2020 - April 2024 · 4 yrs 2 mos
Matrix 360 Distributors, LLCBroker
January 2020 - April 2024 · 4 yrs 3 mos
Aspyre Wealth Partners
September 2018 - August 2019 · 11 mos
Thornburg Investment Management INC
August 2007 - February 2018 · 10 yrs 6 mos
Thornburg Securities CorporationBroker
August 2007 - February 2018 · 10 yrs 6 mos
Thornburg Investment Management INC
August 2007 - August 2007 · 0 mos
Funds Distributor, INC.Broker
March 2006 - May 2007 · 1 yr 2 mos
Victory Capital Management INC.
November 2005 - June 2007 · 1 yr 7 mos
Victory Capital Advisers, INC.Broker
April 2004 - May 2007 · 3 yrs 1 mo
Janus Distributors LLCBroker
August 1999 - February 2004 · 4 yrs 6 mos
State Registrations5 states
IAILKSMONE
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.