John E. Carey

FARTHER | Director, Financial Planning

Austin, TX 78731

Some features on this profile are disabled

CRD#: 1985806

Professional summary

John Emerson Carey is a registered financial advisor currently at FARTHER located in Austin, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6, Series 10, Series 9, Series 27 and Series 24 exams.

Biography

Since 1990, I’ve been a financial planner focused on steering my clients toward smart and effective ways to plan for a prosperous and fulfilling financial future. I have a passion for life-long learning and am an avid reader. I enjoy spending time with my family, playing golf and cheering on the Colorado Avalanche hockey team.

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 John Emerson Carey'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®

None

Education

Regis University

American University

Experience

Current

January 21, 2025 - Present

FARTHER

Office #1: 7000 N Mopac Expressway Suite 200, Austin, TX 78731

RIA

CRD#: 302050

Austin, TX

Past

November 30, 2016 - February 14, 2025

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

AUSTIN, TX

Past

July 1, 2013 - November 30, 2016

FINANCIAL ENGINES ADVISOR CENTER, LLC

RIA

CRD#: 109238

AUSTIN, TX

Past

June 9, 2005 - July 2, 2013

THE MUTUAL FUND STORE

RIA

CRD#: 135062

AUSTIN, TX

Past

October 15, 2003 - June 1, 2004

GEARY SECURITIES, INC.

RIA

CRD#: 38182

ENID, OK

Past

August 29, 2003 - June 1, 2004

GEARY SECURITIES, INC.

CRD#: 38182

OKLAHOMA CITY, OK

Past

November 6, 2002 - March 18, 2003

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

February 16, 1998 - October 29, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 24, 1995 - April 3, 1996

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

September 26, 1992 - January 7, 1993

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

February 28, 1990 - September 11, 1991

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 26, 1989 - October 30, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 26, 1989 - October 30, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/21/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/10/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/11/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/14/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/25/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/9/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/2/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 27

Date: 4/26/1995

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/1995

General Securities Principal Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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.

Contact information

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John E. Carey

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Emerson Carey's CRS (Customer Relationship Summary).

Certified licenses

Education

Regis University

American University

Experience

EDELMAN FINANCIAL ENGINES

FINANCIAL ENGINES ADVISOR CENTER, LLC

THE MUTUAL FUND STORE

GEARY SECURITIES, INC.

GEARY SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

JAMES WHEELER & CO. INVESTMENTS, INC.

PORTFOLIO BROKERAGE SERVICES, INC.

DAIN RAUSCHER INCORPORATED

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2005

Series 66

Date: 10/10/2003

Series 63

Date: 4/11/1995

Series 7

Date: 3/14/1995

Series 6

Date: 9/25/1989

Series 10

Date: 11/9/1999

Series 9

Date: 11/2/1999

Series 27

Date: 4/26/1995

Series 24

Date: 3/29/1995

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

Contact information

Similar Advisors