Jeffrey W. Farley

ASCENSION CAPITAL ADVISORS

Houston, TX 77056

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CRD#: 1326180

Professional summary

Jeffrey Warren Farley, AIF®, CFP® is a registered financial advisor currently at ASCENSION CAPITAL ADVISORS, INC. located in Houston, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Houston, Texas.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Jeffrey has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Warren Farley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

May 16, 2025 - Present

ASCENSION CAPITAL ADVISORS, INC.

Office #1: 4900 Woodway Drive Suite 1150, Houston, TX 77056

RIA

CRD#: 109518

Houston, TX

Current

May 12, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 4900 Woodway Suite 1150, Houston, TX 77056

CRD#: 35747

Houston, TX

Past

April 2, 2012 - May 19, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

KATY, TX

Past

April 2, 2012 - May 19, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

KATY, TX

Past

June 27, 2006 - April 2, 2012

SANDERS MORRIS LLC

RIA

CRD#: 20580

KATY, TX

Past

November 5, 2002 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

BERNARD, TX

Past

February 1, 2000 - April 2, 2012

SANDERS MORRIS LLC

CRD#: 20580

KATY, TX

Past

June 7, 1994 - February 1, 2000

HARRIS WEBB & GARRISON, INC.

CRD#: 28188

HOUSTON, TX

Past

December 9, 1991 - June 22, 1994

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

September 4, 1990 - August 27, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 21, 1989 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

July 17, 1986 - June 13, 1991

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

November 16, 1985 - July 7, 1986

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

December 19, 1984 - May 21, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENSION CAPITAL ADVISORS, INC.

CRD#: 109518 / SEC#: 801-57951

RIA

Registered Investment Advisory firm - (9/15/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(5/12/2025)

Massachusetts
(5/12/2025)

Michigan
(5/12/2025)

New Mexico
(5/12/2025)

New York
(5/12/2025)

Texas
(5/12/2025)

IAR

Texas
(5/16/2025)

Virginia
(5/12/2025)

Washington
(5/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASCENSION CAPITAL ADVISORS, INC.

CRD#: 109518 / SEC#: 801-57951

RIA

Registered Investment Advisory firm - (9/15/2000 Approved)

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Contact information

Main Address

4900 Woodway Drive Suite 1150, Houston, TX 77056

Mailing Address

Phone number

(713) 952-6900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B JULY 2025 (7/7/2025)

Regulatory assets under management

Total Number of Accounts	519
AUM (Assets Under Management)	$ 634,287,172

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
01/18/2024	Cover Page	Report
01/18/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeffrey W. Farley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Warren Farley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSION CAPITAL ADVISORS, INC.

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

HARRIS WEBB & GARRISON, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

KEMPER FINANCIAL SERVICES, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ASCENSION CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 24

Date: 6/7/2005

FINRA

Current Firm

ASCENSION CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSION CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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