Thomas John Farrell
Investment adviser representative at New York Life Investment Management LLC
19 yearsExperience
1 stateRegistered in
$120.7BFirm assets
26 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
19 years in the industry.
- New York Life Investment Management LLCApr 2024 to now
- New York Life InvestmentsApr 2024 to now
- Stringer Asset ManagementFeb 2020 to Apr 2024
- Aspyre Wealth PartnersAug 2018 to Jan 2020
- UnemployedMar 2018 to Aug 2018
- Thornburg SecuritiesJun 2007 to Feb 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law1999
- Series 65 · Uniform Investment Adviser Law2005
State registrations
Registered as an investment adviser representative in 1 state (KS).
New York Life Investment Management LLC
$120.7BAssets managed
933Clients
89Advisers
26 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3235191
- Firm CRD
- 109591