Donald Smillie
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.
Donald Smillie, who also goes by Donald Glynn Smillie, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 28 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
February 5, 2020 - April 2, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
March 21, 2007 - May 9, 2019
HEIM, YOUNG & ASSOCIATES, INC.
January 24, 2005 - April 9, 2007
WORLD GROUP SECURITIES, INC.
August 3, 2004 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 8, 2003 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 11, 1990 - October 7, 2002
WALNUT STREET SECURITIES, INC.
November 19, 1989 - January 10, 1990
OSAIC WEALTH, INC.
November 21, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/20/2011
Introducing Broker/Dealer Financial Operations Principal 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
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.
