Samuel L. Farb
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.
Samuel Louis Farb SR, who also goes by Sam Farb Sr, Samuel Louis Farb, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1971. Samuel had worked at 11 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2005 - May 21, 2014
SUNSET FINANCIAL SERVICES, INC.
October 6, 2005 - May 21, 2014
SUNSET FINANCIAL SERVICES, INC.
January 7, 2002 - October 10, 2005
WRP INVESTMENTS, INC.
March 23, 1993 - January 22, 2002
VOYA FINANCIAL ADVISORS, INC.
September 4, 1992 - September 24, 1998
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
February 15, 1988 - May 31, 1991
LEHMAN BROTHERS INC.
December 18, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
June 19, 1983 - February 19, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 28, 1977 - January 22, 1985
ONEAMERICA SECURITIES, INC.
June 28, 1977 - January 28, 1985
AMERICAN UNITED LIFE INSURANCE COMPANY
March 4, 1971 - July 10, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 4, 1971 - July 10, 1977
OSAIC FA, 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
PC
Date: 9/26/1988
AMEX Put and Call ExamSeries 1
Date: 2/27/1971
Registered Representative ExaminationCurrent Firm
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
