Michael James Farrington

Employer firm

Gradient Securities, LLC CRD 127701

$608M regulatory AUM 251 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 04/2018
  Ria Registrar, Llc
  Arden Hills, MN
• 03/2017 → 04/2018
  Gradient Securities, Llc
  Arden Hills, MN
• 05/2018 → 08/2019
  Gradient Securities, Llc
  Arden Hills, MN
• 09/2019 → Present
  Gradient Securities, Llc
  Arden Hills, MN
• 09/2019 → Present
  Ria Registrar, Llc
  Arden Hills, MN

Previous Registrations

• 2014-01-29 → 2015-07-31
  Fintegra, Llc
  Minneapolis, MN

Other Businesses

RIA REGISTRAR, LLC; NOT INVESTMENT RELATED; 4105 LEXINGTON AVE N, ARDEN HILLS, MN 55126; COMPLIANCE CONSULTING; DIRECTOR OF COMPLIANCE; START 09/2019; 160 HOURS PER MONTH; 140 HOURS DURING SECURITIES TRADING HOURS; COMPLIANCE CONSULTING.

Exams

• S66 Uniform Combined State Law Examination
  2003-02-10
• S63 Uniform Securities Agent State Law Examination
  2000-03-31

Other Names

• Mike Farrington
• Mike James Farrington
• Michael Farrington