Stephen Faries has been Vice President, Board Member of Marchand Faries Financial Management since January 1996, is a control person of the firm and directly owns between 25% and 50% of it. Stephen Faries holds a Bachelor of Science from the University of Missouri, a Juris Doctorate from the University of Missouri Law School and a Masters of Business Administration from Rockhurst College.
Marchand Faries Financial Management, Inc. is a firm with $139M under management, 90 clients and 4 advisers across 3 offices, as of its February 2026 filing.
Stephen T. Faries is Co-Founder of Marchand Faries Financial Management, Inc. He has been an employee benefits regional manager, an investment consultant, and a corporate attorney for over 45 years.
Stephen Faries’ longest registration is the current one, 29 years at Marchand Faries Financial Management since 1997.
- Wealth Inc.– · 4 yearsJacksonville, FL · Adviser representative · Firm CRD 140018
- – present · 29 yearsKeystone Heights, FL · Adviser representative · Firm CRD 107813
Investment adviser representative registrations
Stephen Faries is registered as an investment adviser representative in Florida, since March 1997.
- FloridaSince 18 March 1997
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 7 August 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 April 1996 |
| Series 7 | General Securities Representative Examination | 18 March 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Terry Faries
- CRD
- 2715290
- Firm
- Marchand Faries Financial Management · CRD 107813
- Role
- Vice President, Board Member
- Office
- Keystone Heights, FL
- Registration
- Investment adviser registration
- In the industry since
- March 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mffm.com
Where does Stephen Faries work?
Stephen Faries has been Vice President, Board Member of Marchand Faries Financial Management, Inc. since January 1996, and is a control person of the firm.
Is Stephen Faries a financial advisor?
Yes. Stephen Faries has a current investment-adviser registration in Florida, through Marchand Faries Financial Management since March 1997.
How many years of experience does Stephen Faries have?
Stephen Faries has 29 years in the financial industry, since March 1997, across 2 adviser firms.
What exams has Stephen Faries passed?
Stephen Faries has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in March 1996.
Where is Stephen Faries based?
Stephen Faries’ registered office is in Keystone Heights, FL.
Is Stephen Faries registered with FINRA?
No. Stephen Faries has no current broker registration.
How can I verify Stephen Faries’ record?
Search CRD 2715290 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Faries’ full registration record.
