Jeffrey A. Mcfarland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Alan Mcfarland, who also goes by Jeffrey A Mcfarland, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - November 30, 2020
KESTRA ADVISORY SERVICES, LLC
January 28, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 28, 2015 - November 30, 2020
KESTRA INVESTMENT SERVICES, LLC
January 1, 2013 - June 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2012 - June 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 18, 1998 - August 28, 2002
CITIGROUP GLOBAL MARKETS INC.
September 4, 1996 - September 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/21/2024
General Securities Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
