Peggy A. Farley

ASCENT CAPITAL MANAGEMENT

Newton, NJ 07860

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CRD#: 4061715

Professional summary

Peggy A. Farley, who also goes by Peggy Ann Farley, is a registered financial advisor currently at ASCENT CAPITAL MANAGEMENT, INC. located in Newton, New Jersey.

Peggy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Peggy has worked at 2 firms and has passed the Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peggy Ann 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 Peggy A. Farley's 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

July 6, 2022 - Present

ASCENT CAPITAL MANAGEMENT, INC.

Office #1: 908 Owassa Road, Newton, NJ 07860

RIA

CRD#: 320877

Newton, NJ

Past

January 13, 2000 - April 13, 2004

ROBERT R. MEREDITH & CO., INC.

CRD#: 29501

NEW YORK, NY

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

New Jersey
(7/6/2022)

IAR

New York
(7/8/2022)

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: 5/4/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/11/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2002

General Securities Principal Examination

Current Firm

ASCENT CAPITAL MANAGEMENT, INC.

CRD#: 320877 / SEC#:

New Jersey

Registered Investment Advisory firm - (7/6/2022 Approved)

New York

Registered Investment Advisory firm - (7/8/2022 Approved)

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Contact information

Main Address

908 Owassa Road, Newton, NJ 07860

Mailing Address

Phone number

(973) 579-7656

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 4,204,645

Red Flags

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

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Peggy A. Farley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peggy A. Farley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENT CAPITAL MANAGEMENT, INC.

ROBERT R. MEREDITH & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2022

Series 7

Date: 1/11/2000

Series 24

Date: 12/16/2002

Current Firm

ASCENT CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASCENT CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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