Thomas John Farrell
Investment Adviser Representative at NEW YORK LIFE Investment Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas John Farrell is an investment adviser representative with NEW YORK LIFE Investment Management LLC in Olathe, KS, where they have been registered since 2024. They have worked in the securities industry since 2000 and have been registered with 5 firms, including Stringer Asset Management, LLC and Aspyre Wealth Partners. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Kansas.
Registrations & licenses
- Investment adviser:
- Kansas
- Broker:
5 states and territories
Illinois, Iowa, Kansas, Missouri, Nebraska
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Thornburg SecuritiesJun 2007 – Feb 2018Santa Fe, NM
- UnemployedMar 2018 – Aug 2018Olathe, KS
- Aspyre Wealth PartnersAug 2018 – Jan 2020Overland Park, KS
- Stringer Asset ManagementFeb 2020 – Apr 2024Overland Park, KS
- New York Life InvestmentsApr 2024 – no end date reportedOlathe, KS
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About NEW YORK LIFE Investment Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 88
- Offices listed on AdvisorFinder:
- 1
- Main office:
- New York, NY
- SEC file number:
- 801-57396
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
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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 John 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.
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