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TJ

Thomas James Farrell

Investment Adviser Representative at ASPIRE PRIVATE CAPITAL

Cornelius, NCCRD #5548777Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
North Carolina
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/14/2014
Series 66
Uniform Combined State Law Examination
Passed 8/15/2008
Series 7
General Securities Representative Examination
Passed 7/31/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.019
Source

Aspire Private Capital Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ASPIRE PRIVATE CAPITALCurrent
5/13/2014Cornelius, NC
GLOBAL FINANCIAL PRIVATE CAPITAL, LLC
10/21/20146/12/2017Cornelius, NC
WELLS FARGO ADVISORS, LLC
9/28/20114/16/2014Charlotte, NC
EDWARD JONES
8/20/20089/12/2011Denver, NC

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at ASPIRE PRIVATE CAPITAL

7 other advisors in the directory

View ASPIRE PRIVATE CAPITAL firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas James Farrell has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Thomas James Farrell - Financial Advisor in Cornelius, NC | AdvisorFinder