John Carroll Farley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 11/2011 → Present
  Lpl Financial Llc
  Portsmouth, RI

Previous Registrations

• 2005-11-30 → 2011-11-16
  Stifel, Nicolaus & Company, Incorporated
  Avon, CT
• 1998-11-05 → 2005-12-20
  Advest, Inc.
  Avon, CT

Other Businesses

1. 9/25/2017 - John C Farley Photography - Not Investment Related - Home Based - Other-Business Owner - Photographer - Start 10/01/2017 - 4 Hours Per Month/0 Hours During Securities Trading. 2. 1/24/2020 - Portsmouth Woodworks - Not Investment Related - 30 Long Meadow Rd, Portsmouth RI 02871 - Other-Art and Crafts - Owner - Started 01/21/2020 - 4 Hours Per Month/0 Hours During Securities Trading. 3. 2/27/2020 - Newport Wealth Management, Inc. - DBA: Newport Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/11/2011 - 0 Hours Per Month.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-06-25
• S63 Uniform Securities Agent State Law Examination
  1988-05-20