Peggy L. Prokop
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.
Peggy Lynn Prokop, who also goes by Peggy L Grollo, Peggy Lynn Grollo, Peggy L Prokop, Peggy L Querin, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1989. Peggy had worked at 7 firms and has passed the Series 63, SIE 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
January 26, 2022 - August 26, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
July 17, 2020 - January 3, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
February 9, 2012 - March 30, 2020
QUASAR DISTRIBUTORS, LLC
February 18, 1999 - November 7, 2011
SII INVESTMENTS, INC.
September 17, 1998 - February 19, 1999
CAPITAL FINANCIAL SERVICES, INC.
December 2, 1996 - August 17, 1998
FOCUSED INVESTMENTS L.L.C.
March 1, 1994 - December 3, 1996
CAPITAL FINANCIAL SERVICES, INC.
September 1, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 1, 1989 - March 18, 1994
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
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