Jeffrey Farley has been an investment adviser representative at Ascension Capital Advisors since May 2025, and is not listed among the firm’s executive officers or direct owners. Jeffrey Farley studied at Kent State University.
Ascension Capital Advisors, Inc. is a Houston, TX firm with $939M under management, 240 clients and 7 advisers in one office, as of its June 2026 filing.
Jeff Farley is a Senior Advisor at Ascension Capital. From 1985 to 1990 he was Regional Vice President with Kemper Financial Services, Inc., supporting registered representatives in retirement plans, annuities and tax deferral strategies. He returned to private practice in 1991, joined Cambridge and Gateway Financial Advisors Inc. in 2012, and merged the advisory business he ran, serving individuals and corporate 401(k) plans, with Ascension Capital in 2025.
Jeffrey Farley’s longest registration was 13 years at Cambridge Investment Research Advisors, Inc. (2012–2025). Before joining Ascension Capital Advisors in 2025, Jeffrey Farley was registered through Cambridge Investment Research Advisors, Inc. and Sanders Morris Harris Inc.
- – present · 1 yearHouston, TX · Adviser representative · Firm CRD 109518
- Cambridge Investment Research Advisors, Inc.– · 13 yearsKaty, TX · Adviser representative · Firm CRD 134139
- Sanders Morris Harris Inc.– · 5 yearsKaty, TX · Adviser representative · Firm CRD 20580
- SMH Capital Advisors, Inc.– · 4 yearsBernard, TX · Adviser representative · Firm CRD 108344
Professional designations
Listed by Ascension Capital Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Accredited Investment Fiduciary® (AIF®)
- Certified Plan Fiduciary Advisor® (CPFA®)
Investment adviser representative registrations
Jeffrey Farley is registered as an investment adviser representative in Texas, since May 2025.
- TexasSince 16 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 7 June 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 January 1985 |
| Series 7 | General Securities Representative Examination | 15 December 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Jeffrey Warren Farley
- CRD
- 1326180
- Firm
- Ascension Capital Advisors · CRD 109518
- Office
- 4900 WOODWAY DRIVE, SUITE 1150, Houston, TX 77056
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1985
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- ascensioncapital.com
Where does Jeffrey Farley work?
Jeffrey Farley is an investment adviser representative registered through Ascension Capital Advisors, Inc. since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is Jeffrey Farley a financial advisor?
Yes. Jeffrey Farley has a current investment-adviser registration in Texas, through Ascension Capital Advisors since May 2025.
How many years of experience does Jeffrey Farley have?
Jeffrey Farley has 41 years in the financial industry, since October 1985, across 4 adviser firms.
What exams has Jeffrey Farley passed?
Jeffrey Farley has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in December 1984. FINRA credited Jeffrey Farley with the SIE, which began in October 2018.
Where did Jeffrey Farley work before Ascension Capital Advisors?
Before Ascension Capital Advisors, Jeffrey Farley was registered through Sanders Morris Harris Inc., June 2006 to April 2012; SMH Capital Advisors, Inc., November 2002 to December 2006.
Where is Jeffrey Farley based?
Jeffrey Farley’s registered office is in Houston, TX.
Is Jeffrey Farley registered with FINRA?
Yes. Jeffrey Farley has a current broker registration, under CRD 1326180.
Source: FINRA BrokerCheck
Is Jeffrey Farley a CFP?
Ascension Capital Advisors lists Jeffrey Farley with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Jeffrey Farley’s record?
Search CRD 1326180 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jeffrey Farley’s full registration record.