Janie A. Faught

CARY STREET PARTNERS

San Antonio, TX 78232

Some features on this profile are disabled

CRD#: 6450431

Professional summary

Janie Alysse Faught is a registered financial advisor currently at CARY STREET PARTNERS located in San Antonio, Texas and CARY STREET PARTNERS located in San Antonio, Texas.

Janie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Janie has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Janie Alysse Faught'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

January 16, 2019 - Present

CARY STREET PARTNERS

Office #1: 13750 San Pedro Avenue Ste 940, San Antonio, TX 78232

RIA

CRD#: 128545

San Antonio, TX

Current

January 30, 2018 - Present

CARY STREET PARTNERS

Office #1: 13750 San Pedro Ave Suite 940, San Antonio, TX 78232Office #2: 6710 Professional Parkway Suite 203, Sarasota, FL 34240Office #3: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209Office #4: 20 Mills Avenue, Greenville, SC 29605

CRD#: 128089

San Antonio, TX

Past

March 6, 2017 - December 19, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

DALLAS, 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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Massachusetts
(1/16/2026)

Texas
(1/30/2018)

IAR

Texas
(1/16/2019)

Washington
(3/16/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/5/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	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

Joe-ben O'banion

TITLEIST ASSET MANAGEMENT, LLC

IAR

SAN ANTONIO, TX

Christopher Hall

LPL FINANCIAL LLC

IAR

San Antonio, TX

Robert Armendariz

EAGLE STRATEGIES LLC

IAR

SAN ANTONIO, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Janie A. Faught

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janie Alysse Faught's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2018

Series 63

Date: 8/5/2017

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2017

Series 24

Date: 6/21/2024

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

Similar Advisors