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James G Farrell

Morgan Stanley

Morristown, NJ

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-04-01
NJ RA APPROVED 2019-11-04
  • TX RA
    APPROVED
    Since 2020-04-01
  • NJ RA
    APPROVED
    Since 2019-11-04

Branch Locations

340 Mount Kemble Avenue, Morristown, NJ 07960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Unemployed Madison NJ 04/2016 02/2017
Acs Execution Services, Llc Red Bank NJ 02/2017 04/2017
Santander Investment Securities Inc. New York NY 04/2017 04/2019
Morgan Stanley Florham Park NJ 10/2019 Present
Unemployed Madison NJ 04/2019 10/2019
Morgan Stanley Private Bank, N.A New York NY 10/2019 Present
  • 04/2016 → 02/2017
    Unemployed
    Madison, NJ
  • 02/2017 → 04/2017
    Acs Execution Services, Llc
    Red Bank, NJ
  • 04/2017 → 04/2019
    Santander Investment Securities Inc.
    New York, NY
  • 10/2019 → Present
    Morgan Stanley
    Florham Park, NJ
  • 04/2019 → 10/2019
    Unemployed
    Madison, NJ
  • 10/2019 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Other Businesses

*386906- Estate ; Investment related - Yes; Jan 2013; During business hours: 0; After business hours: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-16
S63 Uniform Securities Agent State Law Examination 1999-06-09
  • S66 Uniform Combined State Law Examination
    2019-09-16
  • S63 Uniform Securities Agent State Law Examination
    1999-06-09
Other Names
  • Jim Farrell
  • James G Farell
  • James Gerard Farrell
  • James Farrell

View on SEC IAPD

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EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
EQUITABLE ADVISORS, LLC · MORRISTOWN, NJ
HIMCO, LLC · MORRISTOWN, NJ

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