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Sean Michael Farrell

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Information

Firm:
Type: Dual Registration
Description

Sean Farrell is a financial professional at Cuna Brokerage Services, Inc., a broker-dealer with 765 registered representatives nationwide. Sean has held an industry securities registration for 22 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Cuna Brokerage Services, Inc. 20 years, 1 month Jul 1994 - Present
Cuna Mutual Group 20 years, 1 month Jul 1994 - Present
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 07/26/2005
Uniform Securities Agent State Law ExaminationSeries 63 04/15/1998
General Securities Representative ExaminationSeries 7 08/05/1996
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 03/30/1992

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Sean Michael Farrell has not answered any questions on Financial Q&A.

Top Guides

Sean Michael Farrell has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

5 Customer Disputes

As of Date
11/19/2012
08/16/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: FEES FOR FINANCIAL PLANS, EXPENSE REIMBURSEMENT