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Detailed Report
KERRY ALEX TREVOR FARLEY
KERRY A FARLEY, KERRY FARLEY
CRD#: 6232921
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2019 (5 years)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 1/30/2020
B
Montana 1/20/2023
B
California 8/28/2019
B
Nevada 1/2/2024
IA
California 8/28/2019
B
New Hampshire 7/7/2021
B
Colorado 3/31/2020
B
New Jersey 1/27/2020
B
Connecticut 12/6/2021
B
New York 9/26/2019
B
Delaware 6/18/2020
B
North Carolina 8/28/2019
B
Florida 5/21/2021
B
North Dakota 11/21/2022
B
Georgia 8/28/2019
B
Ohio 8/28/2019
B
Hawaii 6/22/2020
B
Oklahoma 9/9/2019
B
Idaho 1/10/2023
B
Oregon 9/28/2022
B
Kansas 1/6/2022
B
Pennsylvania 1/20/2023
B
Louisiana 12/20/2024
B
Tennessee 1/5/2023
B
Maryland 7/9/2020
IA
Texas 8/28/2019
B
Massachusetts 1/20/2023
B
Texas 9/11/2019
B
Michigan 7/10/2024
B
Washington 1/20/2023
B
Minnesota 10/31/2022
B
Wisconsin 9/14/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Novato, CA
Registered with this firm since 8/28/2019
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Novato, CA
Registered with this firm since 8/28/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/12/2014 - 08/29/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
 02/11/2014 - 08/29/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
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.