Steven K. Klein
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.
Steven Kenneth Klein, who also goes by Steve Klein, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, Series 99TO, SIE, Series 14, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2000 - April 30, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
July 9, 1999 - December 17, 2002
INVESTORS BROKERAGE SERVICES, INC.
October 23, 1998 - May 27, 1999
WILSHIRE ASSOCIATES INCORPORATED
May 28, 1997 - October 9, 1998
ASSOCIATED PLANNERS SECURITIES CORPORATION OF NEVADA, INC.
September 14, 1995 - October 9, 1998
ASSOCIATED SECURITIES CORP.
June 11, 1986 - June 1, 1988
COOPERATIVE FINANCIAL PLANNERS, LTD.
May 7, 1985 - September 3, 1985
FNI CAPITAL CORPORATION
February 19, 1985 - May 18, 1995
CETERA WEALTH SERVICES, LLC
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
Series 7TO
Date: 1/10/2024
General Securities Representative ExaminationSeries 99TO
Date: 1/10/2024
Operations Professional ExaminationCurrent 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
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