Steve A. Mcglothlin
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.
Steve Allen Mcglothlin, who also goes by Steve Allen Mcglothlin Mr, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1993. Steve had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - October 13, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
July 25, 2007 - June 8, 2009
J.P. TURNER & COMPANY, L.L.C.
December 21, 2005 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
October 18, 2001 - November 3, 2005
CETERA INVESTMENT SERVICES LLC
July 7, 2000 - September 14, 2000
WALNUT STREET SECURITIES, INC.
March 12, 1998 - June 11, 1998
WALNUT STREET SECURITIES, INC.
July 1, 1997 - August 19, 1997
MERCANTILE INVESTMENT SERVICES, INC.
March 5, 1996 - July 1, 1997
GUARANTY BROKERAGE SERVICES, INC.
February 14, 1996 - March 12, 1996
AMERICAN HEARTLAND INVESTMENTS INC.
November 3, 1993 - February 15, 1994
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
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
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863 / SEC#: 801-108217, 8-52361
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FFS HOLDING, LLC | MANAGING MEMBER | |
| BORKIN, JOSHUA ALAN | CHIEF FINANCIAL OFFICER | 6536355 |
| DAHM, CHRISTINE | BOARD MEMBER | 8191792 |
| DO, CHAU | SECRETARY | 7865522 |
| HANSON, GUY MEADE | BOARD MEMBER | 7165729 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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