Nigel J. Mallett
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.
Nigel John Mallett was a registered financial professional .
Nigel is a previously registered financial professional and started their career in finance in 1992. Nigel had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2006 - July 6, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
January 13, 2006 - August 9, 2006
COINBASE CAPITAL MARKETS CORP
July 9, 2002 - April 20, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
June 1, 2000 - July 5, 2001
LOCKWOOD FINANCIAL SERVICES, INC.
October 1, 1999 - June 13, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 10, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 9, 1993 - September 21, 1999
CITIGROUP GLOBAL MARKETS INC.
February 3, 1992 - June 11, 1993
UBS 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
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