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Detailed Report
JAMES MATTHEW FARRELL SR.
JAMES MATTHEW FARRELL SR
CRD#: 2927166
IA
Investment Adviser
B
Broker
LINCOLN INVESTMENTCRD#: 519 5 Walnut Grove Drive
SUITE 240
Horsham, PA 19044
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2025 (8 years)2 FIRMS2025 - Present (<1 year)BUNIVEST INVESTMENTS, INC. (CRD# 1834)2003 - 2016 (13 years)BWACHOVIA SECURITIES, INC. (CRD# 19616)2002 - 2003 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2002 (5 years)IAGIRARD PARTNERS LTD. (CRD# 39163)2015 - 2016 (1 year)
License(s)

State Registrations

B
Alabama 2/10/2025
B
Michigan 2/10/2025
B
Arizona 2/10/2025
B
Missouri 2/10/2025
B
California 2/10/2025
B
New Jersey 2/10/2025
B
Connecticut 2/10/2025
B
New Mexico 2/10/2025
B
Delaware 2/10/2025
B
New York 2/10/2025
B
Florida 2/10/2025
B
North Carolina 2/11/2025
B
Georgia 2/10/2025
B
Pennsylvania 2/10/2025
B
Hawaii 2/10/2025
IA
Pennsylvania 2/10/2025
B
Illinois 2/10/2025
B
Puerto Rico 2/10/2025
B
Maine 2/10/2025
B
Rhode Island 2/10/2025
B
Maryland 2/10/2025
B
Virginia 2/10/2025
B
Massachusetts 2/10/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LINCOLN INVESTMENT (CRD#:519)
5 Walnut Grove Drive SUITE 240, Horsham, PA 19044
Registered with this firm since 2/10/2025
B
LINCOLN INVESTMENT (CRD#:519)
5 Walnut Grove Drive SUITE 240, Horsham, PA 19044
Registered with this firm since 2/10/2025
Previous Registration(s)
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IA
 12/12/2016 - 02/24/2025 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) BLUE BELL, PA
B
 12/12/2016 - 02/24/2025 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) BLUE BELL, PA
IA
 03/30/2015 - 11/14/2016 GIRARD PARTNERS LTD. (CRD#:39163) SOUDERTON, PA
B
 02/11/2003 - 11/14/2016 UNIVEST INVESTMENTS, INC. (CRD#:1834) SOUDERTON, PA
B
 10/24/2002 - 02/07/2003 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 08/27/1997 - 10/21/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.