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TF

Thomas L. Forsythe

FARMERS FINANCIAL SOLUTIONS
Torrance, CA 90501
Some features on this profile are disabled
CRD#: 1923114
TF

Professional summary

Thomas Lee Forsythe is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Torrance, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Lee Forsythe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 24, 2016 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 1308 Sartori Ave Ste 101, Torrance, CA 90501
BD
CRD#: 103863
Torrance, CA
Past

November 11, 2016 - March 2, 2020

FARMERS FINANCIAL SOLUTIONS, LLC

RIA
CRD#: 103863
GARDENA, CA
Past

April 22, 2008 - February 24, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
EL SEGUNDO, CA
Past

April 21, 2008 - February 24, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
EL SEGUNDO, CA
Past

November 25, 2002 - April 28, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA
CRD#: 4082
LOS ANGELES, CA
Past

January 24, 2000 - April 28, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
LOS ANGELES, CA
Past

January 10, 2000 - September 19, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

July 16, 1990 - January 13, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 16, 1990 - January 13, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/24/2016)
RR
North Carolina
(3/7/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/27/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/12/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/9/1998
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FARMERS FINANCIAL SOLUTIONS, LLC
FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863 / SEC#: 801-108217, 8-52361

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
31051 Agoura Rd., Westlake Village, CA 91361
Mailing Address
31051 Agoura Rd., Westlake Village, CA 91361
Phone number
(818) 584-0200
Established
Nevada since 12/21/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FARMERS ADV PART 2A DISCLOSURE BROCHURE (1/31/2019)

Direct owners and executive officers

NamePositionCRD#
FFS HOLDING, LLCMANAGING MEMBER
BORKIN, JOSHUA ALANCHIEF FINANCIAL OFFICER6536355
DAHM, CHRISTINEBOARD MEMBER8191792
DO, CHAUSECRETARY7865522
HANSON, GUY MEADEBOARD MEMBER7165729
HOHL, DOREN EUGENEBAORD MEMBER1953425
ROBINSON, TARETHA ANNCHIEF COMPLIANCE OFFICER4539081
ROBINSON, TARETHA ANNDIRECTOR OF OPERATIONS4539081
SCHEAR, ZACHARYPRESIDENT5958762
SCOTT, JANICE GALEBOARD MEMBER7909854
WILLOUGHBY, DENITA ANNETTEBOARD MEMBER2368099

Disclosures

Regulatory Event5

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.

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863Torrance, CA 90501

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