Vernon Farley
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.
Vernon Farley Jr., who also goes by Vernon Farley Jr, Vernon Farley, was a registered financial professional .
Vernon is a previously registered financial professional and started their career in finance in 2014. Vernon had worked at 4 firms and has passed the Series 66, 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
September 12, 2017 - May 25, 2018
FIRST COMMAND ADVISORY SERVICES
September 12, 2017 - May 25, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
November 19, 2015 - January 4, 2017
WADDELL & REED
November 19, 2015 - January 4, 2017
WADDELL & REED
August 11, 2014 - November 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2014 - November 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
Current Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
