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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2024-08-30 |
| TX | RA | APPROVED_RES | 2024-08-26 |
| WA | RA | APPROVED | 2021-06-15 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial | Seattle | WA | 03/2016 | 03/2017 |
| Mass Mutual | Seattle | WA | 03/2017 | 06/2017 |
| Ameriprise Financial Services, Inc. | Seattle | WA | 06/2017 | 11/2018 |
| Rbc Capital Markets, Llc | Seattle | WA | 11/2018 | Present |
(1) NAME OF ENTITY: Farin ADDRESS: 3651 Albion Pl n Unit a Seattle WA 98103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Oct 18, 2024 CAPACITY: Other DUTIES: I do not consider this a business I consider this a hobby. Any compensation that I receive does not even cover the cost of purchasing music which I also use for personal use HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-15 |
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