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Charles Farrell

30 Years of Experience
Broker

Charles Farrell is a registered investment advisor, based in Irvine, CA, with 30 years of industry experience.

Location

9870 Research Dr, Irvine, CA, 92618

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Charles is involved in real estate sales, mortgage origination/brokerage, and acts as a landlord for a property in Irvine, dedicating minimal time to these activities. He also works as an advisory representative of a registered investment advisor, spending full-time hours on this.

Employment History
Current Registrations
Cambridge Investment Research, INC.
March 2020 - Present · 6 yrs 1 mo
Cambridge Investment Research, INC.Broker
March 2020 - Present · 6 yrs 1 mo
Cooper Mcmanus
June 2009 - Present · 16 yrs 10 mos
Previous Registrations
Securities America, INC.Broker
June 2009 - March 2020 · 10 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 1997 - June 2009 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1996 - June 2009 · 13 yrs 5 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Charles Farrell - Financial Advisor | TrueAdvisor