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Peggy A. Farley

Ascent Capital Management, Inc.

Newton, NJ

CRD 4061715

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Employer firm

Ascent Capital Management, Inc. CRD 320877

$4.06M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Ascent Capital Management, Inc.

908 Owassa Road, Newton, NJ 07860 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-07-08
NJ RA APPROVED 2022-07-06
  • NY RA
    APPROVED
    Since 2022-07-08
  • NJ RA
    APPROVED
    Since 2022-07-06

Branch Locations

908 Owassa Road, Newton, NJ 07860 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ascent Capital Management, Inc. Newton NJ 04/2004 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-04
  • S65 Uniform Investment Adviser Law Examination
    2022-05-04
Other Names
  • Peggy Ann Farley

View on SEC IAPD

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Nearby Offices

EDWARD JONES · NEWTON, NJ
PFS INVESTMENTS INC. · NEWTON, NJ
LPL FINANCIAL LLC · NEWTON, NJ

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