Bruce E. Northey
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.
Bruce Edgar Northey was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1990. Bruce had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 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
February 13, 2017 - February 6, 2019
FARMERS FINANCIAL SOLUTIONS, LLC
March 5, 2015 - February 15, 2017
HORACE MANN INVESTORS, INC.
April 10, 2014 - October 14, 2014
NATIONWIDE SECURITIES, LLC
April 18, 2012 - March 11, 2013
MULTI-BANK SECURITIES, INC.
October 21, 1999 - February 26, 2001
BENTLEY-LAWRENCE SECURITIES, INC.
August 16, 1996 - October 18, 1999
BENTLEY-LAWRENCE SECURITIES, INC.
July 31, 1995 - August 15, 1996
FSC SECURITIES CORPORATION
August 23, 1994 - April 3, 1995
NORTH AMERICAN FINANCIAL GROUP, INC.
August 27, 1990 - August 26, 1994
IDS LIFE INSURANCE COMPANY
August 27, 1990 - August 26, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 1990 - September 5, 1990
FORESTERS FINANCIAL SERVICES, 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
