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Advisor at FARRELL FINANCIAL, INC.
Thousand Oaks, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| FARRELL FINANCIAL, INC. | State registered | Mar 12, 2001 | n/a | yes | Thousand Oaks, CA | Current employment |
| NPB FINANCIAL GROUP, LLC | Former SEC adviser | Aug 20, 2009 | Jul 15, 2022 | no | THOUSAND OAKS, CA | Previous registration |
| ASSOCIATED SECURITIES CORP. | n/a | Jan 12, 2007 | Aug 21, 2009 | no | WESTLAKE VILLAGE, CA | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 27, 2001 | Jan 9, 2007 | no | WESTLAKE VILLAG, CA|WESTLAKE VILLAGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NPB FINANCIAL GROUP, LLC | n/a | Jul 15, 2022 | n/a | n/a | Departure no registered destination | Departure |
| ASSOCIATED SECURITIES CORP. | NPB FINANCIAL GROUP, LLC | Aug 21, 2009 | Aug 20, 2009 | -1 | Firm change | Other |
| MML INVESTORS SERVICES, LLC | ASSOCIATED SECURITIES CORP. | Jan 9, 2007 | Jan 12, 2007 | 3 | Firm change | Other |