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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 766 registered representatives nationwide. Sean has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Cuna Brokerage Services, Inc. 20 years, 4 months Jul 1994 - Present
Cuna Mutual Group 20 years, 4 months 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

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

*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

No Disclosures Found

As of Date
10/03/2014
03/27/2014
*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