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AA

Amy M. Arend

FARMERS FINANCIAL SOLUTIONS
Petaluma, CA 94954
Some features on this profile are disabled
CRD#: 2034482
AA

Professional summary

Amy Marie Arend, who also goes by Amy Marie Dodd, Amy M Reichert, Amy Marie Reichert, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Petaluma, California.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2001. Amy has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Marie Dodd | Amy M Reichert | Amy Marie Reichert

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.
1)AMY AREND CPA, NOT INVESTMENT RELATED, PETALUMA, CA, SOLE PROPRIETOR RECONCILIATION, BOOKKEEPING, PAYROLL, CPA, 2H/WEEK, SINCE 05/2020. 2)NC FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, BOOKKEEPING/PAYROLL/TAX AND DBA FOR INVESTMENTS, CPA, LICENSED ASSISTANT, 15H/WEEK, SINCE 07/2020. 3) NAME OF OTHER BUSINESS: O'CONNOR & CO.; INVESTMENT RELATED: NO; ADDRESS: 1101 FIFTH AVE SUITE 360 SAN RAFAEL, CA 94901; NATURE OF BUSINESS: AUDITING; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: AUDITOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: PLAN AND PRFORM GOVERNMENT AUDITS;

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy Marie Arend'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

June 27, 2023 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 775 Baywood Dr Ste 324, Petaluma, CA 94954
BD
CRD#: 103863
Petaluma, CA
Past

June 25, 2021 - May 3, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SAN FRANCISCO, CA
Past

January 13, 2021 - May 3, 2023

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SAN FRANCISCO, CA
Past

September 11, 2003 - November 30, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past

July 17, 2001 - September 24, 2001

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
(6/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/14/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2001
General Securities Representative 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#: 103863Petaluma, CA 94954

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