Thomas A. Saba
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.
Thomas Anthony Saba was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 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, 2016 - January 17, 2025
FARMERS FINANCIAL SOLUTIONS, LLC
April 16, 2013 - March 17, 2015
UBS FINANCIAL SERVICES INC.
April 16, 2013 - March 17, 2015
UBS FINANCIAL SERVICES INC.
June 17, 2009 - January 28, 2013
WEDBUSH SECURITIES INC.
June 16, 2009 - January 28, 2013
WEDBUSH SECURITIES INC.
May 3, 2006 - June 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2006 - June 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1992 - July 7, 2005
CHARLES SCHWAB & CO., INC.
October 17, 1989 - October 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 1989 - October 24, 1989
MORGAN STANLEY DW INC.
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 8
Date: 6/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
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