Ronald J. Swanson
Professional summary
Ronald James Swanson, who also goes by Ron Swanson, Ronald J Swanson, Ronald James Swanson, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Houston, Texas.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1992. Ronald has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald James Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2017 - Present
FARMERS FINANCIAL SOLUTIONS, LLC
Office #1: 11931 Wickchester Ln Ste 360, Houston, TX 77043September 2, 2016 - July 19, 2017
PRUCO SECURITIES, LLC.
May 15, 2015 - July 19, 2017
PRUCO SECURITIES, LLC.
July 8, 2014 - May 22, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 1, 2010 - August 27, 2012
MSI FINANCIAL SERVICES, INC.
July 28, 2009 - March 5, 2010
ALLSTATE FINANCIAL SERVICES, LLC
June 1, 2007 - May 15, 2009
MML INVESTORS SERVICES, LLC
January 20, 2005 - April 30, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
April 6, 1998 - December 14, 2004
PRINCIPAL SECURITIES, INC.
April 3, 1998 - December 14, 2004
PRINCIPAL SECURITIES, INC.
September 28, 1992 - January 27, 1998
MML INVESTORS 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
(8/8/2017)
Exams
FINRA
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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