Ralph C. Lewis
Professional summary
Ralph Curtis Lewis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Ralph had worked at 5 firms, which includes FARMERS FINANCIAL SOLUTIONS LLC, GATEWAY INVESTMENT SERVICES INC., BNY MELLON SECURITIES CORPORATION, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2002 - December 17, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
September 8, 1999 - January 14, 2002
GATEWAY INVESTMENT SERVICES, INC.
July 9, 1992 - July 30, 1999
BNY MELLON SECURITIES CORPORATION
March 20, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 20, 1985 - July 9, 1992
AMERIPRISE FINANCIAL 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
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
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