Stephen D. Pedrin

FARMERS FINANCIAL SOLUTIONS

Petaluma, CA 94954

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CRD#: 2660545

Professional summary

Stephen Daniel Pedrin is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Petaluma, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Stephen Daniel Pedrin'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

May 15, 2015 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 775 Baywood Dr Ste 324, Petaluma, CA 94954

CRD#: 103863

Petaluma, CA

Past

April 5, 2005 - June 20, 2006

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

August 8, 2001 - April 4, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 1, 1999 - January 19, 2001

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

July 31, 1997 - August 25, 1999

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

March 24, 1997 - July 31, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

December 7, 1995 - February 20, 1996

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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

California
(6/12/2015)

Exams

State Security Law Exam

Series 63

Date: 6/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/15/2015

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 12/6/1995

General Securities Representative 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

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Stephen D. Pedrin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Daniel Pedrin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

WELLS FARGO INVESTMENTS, LLC

MAM SECURITIES, LLC

FUNDS DISTRIBUTOR, LLC

MONTGOMERY SECURITIES

INTERFIRST CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/2015

SIE

Date: 10/1/2018

Series 6

Date: 5/15/2015

Series 7

Date: 12/6/1995

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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