Jeffrey Warren Farley

Employer firm

Ascension Capital Advisors, Inc. CRD 109518

$939M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2012 → 03/2025
  Cambridge Investment Research, Inc
  Fairfield, IA
• 04/2012 → 03/2025
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 05/2025 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY
• 05/2025 → Present
  Ascension Capital Advisors, Inc.
  Houston, TX

Previous Registrations

• 2012-04-02 → 2025-05-19
  Cambridge Investment Research Advisors, Inc.
  Katy, TX
• 2006-06-27 → 2012-04-02
  Sanders Morris Llc
  Katy, TX
• 2002-11-05 → 2006-12-31
  Smh Capital Advisors Llc
  Bernard, TX

Other Businesses

1. Ascension Capital Advisors, Inc. Investment-related. At registered location. RIA. IAR. 05/2025. 160 hrs/month. 160 hrs during securities hrs. Advising financial planning clients on asset allocation strategies, some of which will be managed by Ascension Capital. 2. Fixed Insurance. Investment-related. At registered location. Insurance. Agent. 05/2025. 10 hrs/month. 10 hrs during securities hrs. Provide insurance advice based on the needs of clients. 3. PKS. Investment-related. At registered location. Broker-Dealer. Representative. 05/2025. 10 hrs/month. 10 hrs during securities hrs.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-01-10

Designations

• Certified Financial Planner