Thomas V. Yang
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.
Thomas Vang Foua Yang, who also goes by Thomas Yang, Vang Foua Yang, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - December 13, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
July 19, 2011 - November 28, 2011
NEW ENGLAND SECURITIES
April 3, 2007 - July 30, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 2005 - November 18, 2005
CHASE INVESTMENT SERVICES CORP.
October 6, 2005 - November 18, 2005
CHASE INVESTMENT SERVICES CORP.
April 19, 2004 - October 20, 2004
PNC WEALTH MANAGEMENT LLC
March 10, 2004 - October 20, 2004
PNC WEALTH MANAGEMENT LLC
July 3, 2003 - March 1, 2004
QUICK & REILLY, INC.
January 28, 2000 - November 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1997 - December 22, 1999
TD AMERITRADE, 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.
