Kenneth R. Farr

Some features on this profile are disabled

CRD#: 6252416

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.

Kenneth Ray Farr, who also goes by Ken Farr, Kenneth R Farr Jr, Kenneth Ray Farr Jr, Kenneth Ray Farr, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 2013. Kenneth had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Farr | Kenneth R Farr Jr | Kenneth Ray Farr Jr | Kenneth Ray Farr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 4, 2023 - November 25, 2024

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Dallas, TX

Past

April 14, 2023 - November 25, 2024

PNC CAPITAL MARKETS LLC

CRD#: 15647

Dallas, TX

Past

March 23, 2022 - December 19, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

August 2, 2021 - November 5, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 24, 2021 - June 25, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

October 26, 2013 - September 23, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

FRISCO, TX

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".

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/4/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/3/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/25/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 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

One East Pratt Street Fifth Floor - East, Baltimore, MD 21202

Mailing Address

Phone number

(216) 222-3921

Established

Firm type

Fiscal year end

# of Employees

263

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PCA FORM ADV PART 2A BROCHURE 2025 4 4 (4/4/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 42,558,194,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2025	Cover Page	Report
10/28/2024	Cover Page	Report
08/24/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth R. Farr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC CAPITAL MARKETS LLC

CHARLES SCHWAB & CO., INC.

AVANTAX INVESTMENT SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

PNC CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2023

Series 63

Date: 11/6/2013

Series 7TO

Date: 6/3/2021

SIE

Date: 10/1/2018

Series 6

Date: 10/25/2013

Current Firm

PNC CAPITAL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PNC CAPITAL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors