Ken Nagasawa
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.
Ken Nagasawa was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1993. Ken had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2016 - December 1, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
January 21, 2011 - October 31, 2013
SYNDICATED CAPITAL, INC.
May 23, 2006 - December 31, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 3, 2006 - December 31, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 31, 2003 - November 4, 2004
SCF SECURITIES, INC.
December 22, 1999 - August 27, 2001
WMA SECURITIES, INC.
April 10, 1997 - December 31, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
February 22, 1995 - December 8, 1995
WAKO SECURITIES(AMERICA), INC.
June 10, 1993 - February 8, 1995
MONTANO SECURITIES CORPORATION
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.
