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NE

Nancy Y. Ewell

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CRD#: 2120319
NE

Professional summary

Nancy Yukping Ewell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nancy is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Nancy had worked at 5 firms, which includes FARMERS FINANCIAL SOLUTIONS LLC, GLOBALINK SECURITIES INC., ALLSTATE FINANCIAL SERVICES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy Yukping Poon | Nancy Yukping Tang

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 5, 2010 - June 24, 2011

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
LA VERNE, CA
Past

December 21, 2007 - May 12, 2008

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

August 14, 1999 - April 30, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
SAN DIMAS, CA
Past

March 22, 1991 - December 15, 1993

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 22, 1991 - December 15, 1993

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/10/1999
Investment Company Products/Variable Contracts Representative Examination

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#: 103863

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