Stephen P. Pauze
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.
Stephen Philip Pauze, who also goes by Steve Pauze, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 9 firms and has passed the Series 65, Series 63, 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
August 6, 2012 - May 10, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
July 7, 2011 - June 7, 2012
FSC SECURITIES CORPORATION
June 6, 2011 - June 7, 2012
FSC SECURITIES CORPORATION
April 21, 2011 - June 1, 2011
PARK AVENUE SECURITIES LLC
April 18, 2011 - June 1, 2011
PARK AVENUE SECURITIES LLC
April 8, 2010 - September 3, 2010
NEW ENGLAND SECURITIES
March 30, 2010 - September 3, 2010
NEW ENGLAND SECURITIES
September 27, 2005 - March 29, 2010
EQUITABLE ADVISORS, LLC
September 9, 2005 - March 29, 2010
EQUITABLE ADVISORS, LLC
September 11, 2002 - August 30, 2005
WFG INVESTMENTS, INC.
December 19, 2001 - September 10, 2002
CFS DISTRIBUTORS, INC.
January 1, 1999 - December 31, 2001
B. C. ZIEGLER AND COMPANY
May 21, 1998 - January 1, 1999
GS2 SECURITIES, 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
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.
