Inactive

Peggy A. Farley

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Current Employers

Ascent Capital Management, Inc.

908 Owassa Road, Newton, NJ 07860 • United States

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
Ascent Capital Management, Inc.	Newton	NJ	04/2004	Present

04/2004 → Present

Ascent Capital Management, Inc.

Newton, NJ

Exams

Code	Exam	Date
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

Other Firms

EDWARD JONES

PFS INVESTMENTS INC.

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

PLAN2PROSPER LLC.

COMMONWEALTH FINANCIAL NETWORK

PNC WEALTH MANAGEMENT LLC

ONEASCENT FINANCIAL SERVICES LLC

Other Investors

Terence Gerard Wynne

JACQUELINE OSBORNE

PANAGIOTIS TSILIOS

SUZANNE CECELIA TROIANO

NADIA EBANKS

VINCENT DOMINICK TROIANO

SURABHI SHARMA

Luis Ponce

Other Offices

EDWARD JONES · NEWTON, NJ

PFS INVESTMENTS INC. · NEWTON, NJ

LPL FINANCIAL LLC · NEWTON, NJ

J.P. MORGAN SECURITIES LLC · NEWTON, NJ

PLAN2PROSPER LLC. · ANDOVER, NJ

COMMONWEALTH FINANCIAL NETWORK · Branchville, NJ

LPL FINANCIAL LLC · AUGUSTA, NJ

PNC WEALTH MANAGEMENT LLC · EAST STROUDSBURG, PA

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