Thomas John Farrell

Employer firm

New York Life Investment Management LLC CRD 109591

$121B regulatory AUM 1 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)

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

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

Current Employers

Employment History

• 06/2007 → 02/2018
  Thornburg Securities
  Santa Fe, NM
• 03/2018 → 08/2018
  Unemployed
  Olathe, KS
• 08/2018 → 01/2020
  Aspyre Wealth Partners
  Overland Park, KS
• 02/2020 → 04/2024
  Stringer Asset Management
  Overland Park, KS
• 04/2024 → Present
  New York Life Investments
  Olathe, KS

Previous Registrations

• 2020-02-06 → 2024-04-16
  Stringer Asset Management, Llc
  Olathe, KS
  Memphis, TN
• 2018-09-13 → 2019-08-15
  Aspyre Wealth Partners
  Overland Park, KS
• 2007-08-29 → 2018-02-07
  Thornburg Investment Management Inc
  Santa Fe, NM
  Santa Fe, NM
  Oconomowoc, WI
  Overland Park, KS
• 2007-08-15 → 2007-08-28
  Thornburg Investment Management Inc
  Santa Fe, NM
• 2005-11-14 → 2007-06-01
  Victory Capital Management Inc.
  San Antonio, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-10
• S63 Uniform Securities Agent State Law Examination
  1999-07-20

Other Names

• Thomas J Miller
• Thomas John Miller
• Thomas John Farrell
• Thomas John Farrell