John F. Prudden
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.
John Fletcher Prudden, who also goes by John Fletcher Prudden Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 3, 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 9, 2014 - May 15, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
April 2, 2013 - August 5, 2013
FINANCIAL TELESIS INC
June 7, 2011 - July 12, 2011
WADDELL & REED
May 10, 2011 - July 12, 2011
WADDELL & REED
April 16, 2009 - June 18, 2009
AEGIS CAPITAL CORP.
March 13, 2006 - May 16, 2007
LEEB BROKERAGE SERVICES, INC.
January 6, 2006 - February 15, 2006
E1 ASSET MANAGEMENT, INC.
July 15, 1993 - January 26, 2004
GILFORD SECURITIES INCORPORATED
May 27, 1986 - July 14, 1993
GRUNTAL & CO., L.L.C.
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 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamCurrent 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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