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Detailed Report
Michael Farrell
MICHAEL D FARRELL, MICHAEL DANIEL FARRELL
CRD#: 6600411
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 150 W University Dr
Floor 01
Tempe, AZ 85281
Registration History
2018201920202021202220232024202520262 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2020 (2 years)
License(s)

State Registrations

B
Arizona 2/18/2022
B
New York 2/8/2022
IA
Arizona 2/18/2022

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 Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, 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 MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 W University Dr Floor 01, Tempe, AZ 85281
CHANDLER, AZ
Registered with this firm since 2/18/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 W University Dr Floor 01, Tempe, AZ 85281
CHANDLER, AZ
Registered with this firm since 2/4/2022
Previous Registration(s)
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IA
 09/10/2020 - 01/04/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 05/12/2020 - 01/04/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 03/09/2018 - 04/01/2020 J.P. MORGAN SECURITIES LLC (CRD#:79) 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.