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KF

Kerry G. Farley

CETERA INVESTMENT ADVISERS LLC
CLEARWATER, FL 33759
Some features on this profile are disabled
CRD#: 1560826
KF

Professional summary

Kerry Gerow Farley, AIF®, who also goes by Kerry Louisa Farley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clearwater, Florida and CETERA INVESTMENT SERVICES LLC located in Clearwater, Florida.

Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kerry has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kerry Louisa Farley

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 Kerry Gerow 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

Experience

Current

September 5, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3021 Enterprise Road East, Clearwater, FL 33759
RIA
CRD#: 105644
CLEARWATER, FL
Current

August 31, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3021 Enterprise Road East, Clearwater, FL 33759
BD
CRD#: 15340
CLEARWATER, FL
Past

September 1, 2016 - September 7, 2018

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
TAMPA, FL
Past

November 3, 2009 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
TAMPA, FL
Past

October 28, 2009 - September 7, 2018

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
TAMPA, FL
Past

December 4, 2008 - October 28, 2009

COLONIAL ASSET MANAGEMENT INC

RIA
CRD#: 108950
NEW PORT RICHEY, FL
Past

November 26, 2008 - October 28, 2009

COLONIAL BROKERAGE, INC.

BD
CRD#: 111668
NEW PORT RICHEY, FL
Past

June 5, 2006 - May 28, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
TARPON SPRINGS, FL
Past

May 22, 2006 - May 28, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

January 18, 2005 - April 5, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CLEARWATER, FL
Past

January 3, 2005 - April 5, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 23, 1989 - August 10, 2004

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
RR
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

RR
Alabama
(8/31/2018)
RR
Colorado
(8/31/2018)
RR
Florida
(9/4/2018)
IAR
Florida
(9/5/2018)
RR
Georgia
(8/31/2018)
RR
Illinois
(2/5/2020)
RR
Kentucky
(10/24/2019)
RR
Michigan
(8/31/2018)
RR
New Hampshire
(11/18/2020)
RR
New York
(8/4/2024)
RR
Ohio
(7/11/2023)
RR
Virginia
(11/13/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/13/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/7/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 1/30/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Clearwater, FL 33759

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