Nicholas Farrell has been an investment adviser representative at Caitlin John since September 2026, and is not listed among the firm’s executive officers or direct owners.
Caitlin John, LLC is a Brighton, MI firm with $215M under management, 602 clients and 25 advisers across 14 offices, as of its September 2026 filing.
Nicholas Farrell’s longest registration was under a year at J. W. Cole Advisors, Inc. (2026–2026). Before joining Caitlin John in 2026, Nicholas Farrell was registered through J. W. Cole Advisors, Inc.
- Simplyria Advisor NetworkCurrent– present · under a yearWarren, OH · Adviser representative · Firm CRD 154494
- J. W. Cole Advisors, Inc.– · under a yearWarren, OH · Adviser representative · Firm CRD 112294
Investment adviser representative registrations
Nicholas Farrell is registered as an investment adviser representative in Ohio, since September 2026.
- OhioSince 30 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 14 March 2026 |
| Series 7TO | General Securities Representative Examination | 11 February 2026 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 12 September 2025 |
| SIE | Securities Industry Essentials Examination | 5 September 2025 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Nicholas J Farrell
- CRD
- 8103594
- Firm
- Caitlin John · CRD 154494
- Office
- Warren, OH
- Registration
- Investment adviser registration
- In the industry since
- January 2026
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Farrell work?
Nicholas Farrell is an investment adviser representative registered through Caitlin John, LLC since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Farrell a financial advisor?
Yes. Nicholas Farrell has a current investment-adviser registration in Ohio, through Caitlin John since September 2026.
How many years of experience does Nicholas Farrell have?
Nicholas Farrell has 0 years in the financial industry, since January 2026, across 2 adviser firms.
What exams has Nicholas Farrell passed?
Nicholas Farrell has passed 4 licensing exams: the SIE, Series 6TO, Series 7TO and Series 66. The earliest, the SIE, was passed in September 2025.
Where did Nicholas Farrell work before Caitlin John?
Before Caitlin John, Nicholas Farrell was registered through J. W. Cole Advisors, Inc., March 2026 to September 2026.
Where is Nicholas Farrell based?
Nicholas Farrell’s registered office is in Warren, OH.
Is Nicholas Farrell registered with FINRA?
No. Nicholas Farrell has no current broker registration.
How can I verify Nicholas Farrell’s record?
Search CRD 8103594 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Farrell’s full registration record.