Najmal Upadye
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.
Najmal Upadye was a registered financial professional .
Najmal is a previously registered financial professional and started their career in finance in 1996. Najmal had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 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
May 20, 2015 - April 12, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
April 19, 2002 - October 9, 2003
SUNAMERICA SECURITIES, INC.
January 23, 2002 - April 29, 2002
QUICK & REILLY, INC.
April 6, 2001 - January 23, 2002
ALLSTATE FINANCIAL SERVICES, LLC
September 16, 1999 - March 30, 2001
INVESTACORP, INC.
May 28, 1997 - August 27, 1999
UBS FINANCIAL SERVICES INC.
November 18, 1996 - May 13, 1997
CHATFIELD DEAN & CO., INC.
July 17, 1996 - August 15, 1996
IDS LIFE INSURANCE COMPANY
July 17, 1996 - August 15, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
May 30, 1996 - January 4, 1997
MONY 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.
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