Frank J. Sica

FARMERS FINANCIAL SOLUTIONS

DALLAS, TX 75206

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CRD#: 2376033

Professional summary

Frank James Sica, who also goes by Frank J Sica, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Dallas, Texas.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1994. Frank has worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank J Sica

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) - BD

Click below to view Frank James Sica's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 29, 2005 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 8350 N Central Expy Ste 1410 (35-52-64), Dallas, TX 75206

CRD#: 103863

DALLAS, TX

Past

November 22, 2002 - March 5, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

October 5, 2000 - October 30, 2000

ACCESS SECURITIES, LLC

CRD#: 22455

NEW CANAAN, CT

Past

October 18, 1996 - August 13, 2002

HUBERMAN FINANCIAL INC.

CRD#: 28760

DALLAS, TX

Past

March 14, 1994 - October 8, 1996

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/5/2006)

Texas
(5/25/2005)

Exams

State Security Law Exam

Series 63

Date: 6/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/8/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863 / SEC#: 801-108217, 8-52361

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)

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

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Frank J. Sica

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank James Sica's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARMERS FINANCIAL SOLUTIONS, LLC

ACCESS SECURITIES, LLC

HUBERMAN FINANCIAL INC.

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1994

SIE

Date: 10/1/2018

Series 55

Date: 12/8/1999

Series 7

Date: 3/11/1994

Series 24

Date: 2/12/2001

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

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