Rafael Salgado
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.
Rafael Salgado JR, who also goes by Rafael Salgado, Ralph Salgado, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1984. Rafael had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2007 - May 8, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
July 10, 1995 - September 27, 1996
IFMG SECURITIES, INC.
May 31, 1994 - July 18, 1995
FFP SECURITIES, INC.
February 26, 1993 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 16, 1991 - June 8, 1994
PRUCO SECURITIES, LLC.
January 2, 1990 - March 15, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
November 17, 1989 - December 20, 1989
IDS LIFE INSURANCE COMPANY
November 17, 1989 - December 20, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
March 22, 1989 - June 13, 1989
INVEST FINANCIAL CORPORATION
September 13, 1988 - February 2, 1989
MORGAN STANLEY DW INC.
February 19, 1986 - July 29, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 1985 - March 3, 1986
INVEST FINANCIAL CORPORATION
May 24, 1984 - July 29, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
