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Detailed Report
Richard M Farrell III
Richard M Farrell, Richard Martin Farrell III, Richard Farrell, Trae Farrell
CRD#: 6233127
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 14850 North Scottsdale Road
Suite 600
Scottsdale, AZ 85254
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BBOFA SECURITIES, INC. (CRD# 283942)2019 - 2021 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2019 (1 year)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2013 - 2017 (3 years)
License(s)

State Registrations

B
Alabama 10/6/2021
B
Montana 10/6/2021
B
Arizona 7/1/2021
B
Nevada 10/14/2021
IA
Arizona 8/9/2021
B
New Jersey 10/6/2021
B
Arkansas 3/30/2023
B
New Mexico 2/8/2023
B
California 10/6/2021
B
New York 10/6/2021
B
Colorado 10/6/2021
B
North Carolina 10/6/2021
B
Connecticut 4/2/2024
B
Ohio 10/7/2021
B
District of Columbia 1/7/2025
B
Oklahoma 10/6/2021
B
Florida 10/6/2021
B
Oregon 10/6/2021
B
Georgia 10/6/2021
B
Pennsylvania 10/6/2021
B
Hawaii 10/14/2021
B
Rhode Island 4/2/2024
B
Idaho 10/6/2021
B
South Carolina 10/6/2021
B
Illinois 10/6/2021
B
Tennessee 10/6/2021
B
Indiana 10/6/2021
B
Texas 10/6/2021
B
Iowa 10/6/2021
IA
Texas 10/12/2021
B
Kansas 10/6/2021
B
Utah 10/27/2023
B
Maryland 11/10/2021
B
Vermont 7/12/2023
B
Massachusetts 10/6/2021
B
Virginia 10/6/2021
B
Michigan 10/6/2021
B
Washington 5/8/2023
B
Minnesota 10/6/2021
B
Wisconsin 10/6/2021
B
Missouri 5/17/2024

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 8/9/2021
B
MORGAN STANLEY (CRD#:149777)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 6/17/2021
Previous Registration(s)
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B
 05/10/2019 - 06/08/2021 BOFA SECURITIES, INC. (CRD#:283942) NEW YORK, NY
B
 09/25/2017 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/24/2013 - 08/25/2017 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, 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.