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JF

Jennifer S. Farley

CETERA INVESTMENT ADVISERS LLC
RICHMOND, VA 23219
Some features on this profile are disabled
CRD#: 3243200
JF

Professional summary

Jennifer Seay Farley, who also goes by Jennifer Joy Farley, Jennifer S Farley, Jennifer J Farley, Jennifer Joy Seay, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richmond, Virginia and CETERA WEALTH SERVICES, LLC located in Richmond, Virginia.

Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jennifer has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jennifer Joy Farley | Jennifer S Farley | Jennifer J Farley | Jennifer Joy Seay

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.
1. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2022 POSITION/TITLE/RELATIONSHIP: REGISTERED STAFF APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDE OPERATIONAL SUPPORT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Seay 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®
None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1051 E Cary St St 1430, Richmond, VA 23219
RIA
CRD#: 105644
RICHMOND, VA
Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 800 E Canal Street Suite 950, Richmond, VA 23219
BD
CRD#: 13572
Richmond, VA
Past

April 22, 2022 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
Richmond, VA
Past

March 3, 2022 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
Richmond, VA
Past

December 12, 2007 - September 12, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
RICHMOND, VA
Past

January 3, 2007 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA
CRD#: 109729
MILWAUKEE, WI
Past

June 1, 2005 - January 3, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
RICHMOND, VA
Past

March 16, 2005 - September 12, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
RICHMOND, VA

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
Virginia
(8/10/2023)
IAR
Virginia
(8/10/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/18/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/9/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/2005
General Securities Representative 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
11/18/2022
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#: 105644Richmond, VA 23219

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