JF
John R. Faries
MARCHAND FARIES FINANCIAL MANAGEMENT
Parker, CO
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CRD#: 5115108
JF
Professional summary
John Royal Faries II, who also goes by John Royal Faries, is a registered financial advisor currently at MARCHAND FARIES FINANCIAL MANAGEMENT, INC. located in Parker, Colorado.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. John has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Royal Faries
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.
Pivot Lending Group, 5935 S Zang St, Ste 220, Littleton, CO 80127;
Chief Financial Officer;
Start date: 08/2020;
This business is not investment-related;
It is a Mortgage lender;
Approximate number of hours/month devoted to this business: 160 hours per month;
Number of hours devoted during securities trading hours: 8 hours per day;
Mr. Faries duties are operational in nature.
CRS (Client Relationship Summary) - RIA
Click below to view John Royal Faries II'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®
NoneExperience
Current
October 27, 2016 - Present
MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 107813
Parker, CO
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".
MF
MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
MARCHAND FARIES FINANCIAL MANAGEMENT INC | MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
CRD#: 107813 / SEC#: 801-121512
RIA
Registered Investment Advisory firm - (6/16/2021 Approved)Colorado
Registered Investment Advisory firm - (6/29/2021 Terminated)Florida
Registered Investment Advisory firm - (6/21/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (10/1/2019 Terminated)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
Colorado(12/16/2016)
IAR
Florida(12/20/2016)
Current Firm
MF
MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
MARCHAND FARIES FINANCIAL MANAGEMENT INC | MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
CRD#: 107813 / SEC#: 801-121512
RIA
Registered Investment Advisory firm - (6/16/2021 Approved)Colorado
Registered Investment Advisory firm - (6/29/2021 Terminated)Florida
Registered Investment Advisory firm - (6/21/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (10/1/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Jupiter, FL
Mailing Address
Po Box 2179, Keystone Heights, FL 32656
Phone number
(904) 805-0207
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 212 |
| AUM (Assets Under Management) | $ 131,165,256 |
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.
