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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 767 registered representatives nationwide. Sean has held an industry securities registration for 22 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Cuna Brokerage Services, Inc. 19 years, 9 months Jul 1994 - Present
Cuna Mutual Group 19 years, 9 months Jul 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/19/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 07/26/2005
Uniform Securities Agent State Law Examination Series 63 04/15/1998
General Securities Representative Examination Series 7 08/05/1996
Investment Company Products/Variable Contracts Representative Examination Series 6 03/30/1992

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