• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CONNOR JOSEPH FARLEY
CRD#: 7460268
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 400 1ST ST S STE 300
ST CLOUD, MN 56301
CETERA INVESTMENT SERVICES LLCCRD#: 15340 400 1ST ST S STE 300
ST CLOUD, MN 56301
Registration History
202220232024202520262 FIRMS2024 - Present (<1 year)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2023 - 2024 (<1 year)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2022 - 2023 (1 year)IAALLIANCEBERNSTEIN L.P. (CRD# 108477)2024 - 2024 (<1 year)
License(s)

State Registrations

B
Alabama 8/20/2024

B
Montana 8/20/2024

B
Alaska 8/20/2024

B
Nebraska 8/20/2024

B
Arizona 8/20/2024

B
Nevada 8/20/2024

B
Arkansas 8/20/2024

B
New Hampshire 8/20/2024

B
California 8/20/2024

B
New Jersey 8/20/2024

B
Colorado 8/20/2024

B
New Mexico 8/20/2024

B
Connecticut 8/20/2024

B
New York 8/20/2024

B
Delaware 8/20/2024

B
North Carolina 8/20/2024

B
District of Columbia 8/20/2024

B
North Dakota 8/20/2024

B
Florida 8/20/2024

B
Ohio 8/20/2024

B
Georgia 8/20/2024

B
Oklahoma 8/20/2024

B
Hawaii 8/20/2024

B
Oregon 8/20/2024

B
Idaho 8/20/2024

B
Pennsylvania 8/20/2024

B
Illinois 8/20/2024

B
Rhode Island 8/20/2024

B
Indiana 8/20/2024

B
South Carolina 8/20/2024

B
Iowa 8/20/2024

B
South Dakota 8/20/2024

B
Kansas 8/20/2024

B
Tennessee 8/20/2024

B
Kentucky 8/20/2024

B
Texas 8/20/2024

B
Louisiana 8/20/2024

IA
Texas 8/20/2024

B
Maine 8/20/2024

B
Utah 8/20/2024

B
Maryland 8/20/2024

B
Vermont 8/20/2024

B
Massachusetts 8/20/2024

B
Virginia 8/20/2024

B
Michigan 8/20/2024

B
Washington 8/20/2024

B
Minnesota 8/20/2024

B
West Virginia 8/20/2024

IA
Minnesota 8/20/2024

B
Wisconsin 8/20/2024

B
Mississippi 8/20/2024

B
Wyoming 8/20/2024

B
Missouri 8/20/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
400 1ST ST S STE 300, ST CLOUD, MN 56301
Registered with this firm since 8/20/2024

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
400 1ST ST S STE 300, ST CLOUD, MN 56301
Registered with this firm since 8/20/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/19/2024 - 08/19/2024 ALLIANCEBERNSTEIN L.P. (CRD#:108477) MINNEAPOLIS, MN
B
11/27/2023 - 08/19/2024 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) MINNEAPOLIS, MN
B
01/14/2022 - 09/11/2023 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.