Sean Ward Farrell

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2020-10-29
TX	RA	APPROVED_RES	2020-04-08
DE	RA	APPROVED	2017-08-01

FL RA
APPROVED

Since 2020-10-29
TX RA
APPROVED_RES

Since 2020-04-08
DE RA
APPROVED

Since 2017-08-01

Branch Locations

100 North Tampa Street Suite 3000, Tampa, FL 33602 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Westhampton Beach	NY	08/2016	07/2017
Morgan Stanley	Tampa	FL	07/2017	Present

08/2016 → 07/2017

Ameriprise Financial Services, Inc.

Westhampton Beach, NY
07/2017 → Present

Morgan Stanley

Tampa, FL

Previous Registrations

2016-09-27 → 2017-07-12

Ameriprise Financial Services, Llc

Westhampton Beach, NY

Minneapolis, MN
2006-02-15 → 2016-04-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Weeki Wachee, FL

New York, NY

Tampa, FL

Clearwater, FL

Hartford, CT

New York, NY

New York, NY

New York, NY
2005-07-14 → 2006-02-15

Advest, Inc.

Washington, DC
2003-07-01 → 2004-06-02

Wells Fargo Clearing Services, Llc

Melville, NY
2000-05-11 → 2003-07-01

Prudential Equity Group, Llc

Melville, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-23
S63	Uniform Securities Agent State Law Examination	1984-11-06

S66 Uniform Combined State Law Examination

2000-05-23
S63 Uniform Securities Agent State Law Examination

1984-11-06

Other Names

Sean Ward Farrell
Sean Farrell

View on SEC IAPD

Other Firms

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UNITED CAPITAL FINANCIAL ADVISORS

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INDEPENDENT FINANCIAL PARTNERS

AMERICAN FAMILY LEGACY GROUP

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JANET L CHRISTIANSEN

MATTHEW VERSAGE

Martin Adolfo Montana

Frank Cooper Finley

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Other Offices

STRATEGIC WEALTH INVESTMENT GROUP, LLC · Tampa, FL

INDEPENDENT ADVISOR ALLIANCE, LLC · Tampa, FL

UNITED CAPITAL FINANCIAL ADVISORS · TAMPA, FL

FLORIDA FINANCIAL ADVISORS, LLC · Tampa, FL

AE WEALTH MANAGEMENT, LLC · Tampa, FL

INDEPENDENT FINANCIAL PARTNERS · TAMPA, FL

TRUADVISORS · TAMPA, FL

AMERICAN FAMILY LEGACY GROUP · TAMPA, FL

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