Michael S. Friscia
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.
Michael Salvatore Friscia was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2015 - December 31, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
November 21, 2011 - July 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 8, 2006 - November 2, 2011
PARK AVENUE SECURITIES LLC
January 29, 2002 - October 26, 2006
METROPOLITAN LIFE INSURANCE COMPANY
January 29, 2002 - October 26, 2006
MSI FINANCIAL SERVICES, INC.
August 22, 2001 - January 25, 2002
ROBERT W. BAIRD & CO. INCORPORATED
August 22, 2001 - January 25, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 22, 1992 - May 21, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 22, 1992 - May 21, 1993
PRUCO SECURITIES, LLC.
September 25, 1991 - March 23, 1992
METROPOLITAN LIFE INSURANCE COMPANY
September 25, 1991 - March 23, 1992
MSI FINANCIAL SERVICES, INC.
September 13, 1988 - April 19, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 13, 1988 - April 19, 1991
PRUCO SECURITIES, 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
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.
