Individual Firm
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THOMAS JOHN FARRELL
TJ FARRELL
CRD#: 2166911
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 4304 W Boy Scout Blvd.
Tampa, FL 33607
Tampa, FL 33607
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Alabama 6/19/2017
B
Maryland 8/13/2018
B
California 3/18/2013
B
Missouri 3/27/2024
B
Colorado 6/22/2023
B
New Jersey 5/21/2020
B
District of Columbia 11/4/2022
B
New York 3/27/2014
B
Florida 3/8/2013
B
North Carolina 1/20/2015
IA
Florida 3/19/2013
B
Ohio 11/9/2020
B
Georgia 4/16/2021
B
Oregon 3/8/2023
B
Hawaii 3/7/2023
B
Tennessee 11/3/2022
B
Illinois 7/25/2022
B
Texas 5/9/2016
B
Indiana 3/6/2023
IA
Texas 1/2/2019
B
Kentucky 2/8/2024
B
Virginia 2/19/2021
B
Louisiana 8/1/2024
B
Washington 8/23/2018
SRO Registrations
B
B
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IA
Registered with this firm since 3/19/2013
B
Registered with this firm since 3/7/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/07/1996 - 06/14/2010 | TAMPA, FL | |
B | 04/29/1996 - 06/14/2010 | TAMPA, FL | |
B | 05/25/1995 - 01/05/1996 | NEW YORK, NY | |
B | 07/12/1993 - 10/18/1994 | ||
B | 09/27/1991 - 07/12/1993 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.