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SV

Santiago Vargas

FARMERS FINANCIAL SOLUTIONS
WOODLAND PARK, CO 80863
Some features on this profile are disabled
CRD#: 2942516
SV

Professional summary

Santiago Vargas III, who also goes by Jim Vargas, Santiago Vargas III, Santiago Vargas, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Woodland Park, Colorado.

Santiago is registered as a RR (Registered Representative) and started their career in finance in 1997. Santiago has worked at 4 firms and has passed the Series 65, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Vargas | Santiago Vargas Iii | Santiago Vargas

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 Santiago Vargas III'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

December 16, 2024 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 400 W Midland Ave 245, Woodland Park, CO 80863
BD
CRD#: 103863
WOODLAND PARK, CO
Past

August 13, 2010 - December 12, 2022

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
COLORADO SPRINGS, CO
Past

May 7, 2008 - February 10, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LAKEWOOD, CO
Past

May 29, 2007 - February 10, 2009

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LAKEWOOD, CO
Past

July 3, 2003 - September 29, 2006

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
CEDAR RAPIDS, IA
Past

October 13, 1997 - February 19, 2003

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
WEST DES MOINES, IA

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(12/16/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/16/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/10/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FARMERS FINANCIAL SOLUTIONS, LLC
FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
FFS HOLDING, LLCMANAGING MEMBER
BORKIN, JOSHUA ALANCHIEF FINANCIAL OFFICER6536355
DAHM, CHRISTINEBOARD MEMBER8191792
DO, CHAUSECRETARY7865522
HANSON, GUY MEADEBOARD MEMBER7165729
HOHL, DOREN EUGENEBAORD MEMBER1953425
ROBINSON, TARETHA ANNCHIEF COMPLIANCE OFFICER4539081
ROBINSON, TARETHA ANNDIRECTOR OF OPERATIONS4539081
SCHEAR, ZACHARYPRESIDENT5958762
SCOTT, JANICE GALEBOARD MEMBER7909854
WILLOUGHBY, DENITA ANNETTEBOARD MEMBER2368099

Disclosures

Regulatory Event5

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.

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863Woodland Park, CO 80863

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