Kenneth C. Pemberton
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.
Kenneth Carl Pemberton, who also goes by Ken Pemberton Jr, Kenneth C Pemberton Jr, Kenneth Carl Pemberton Jr, Kenneth Carl Pemberton, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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, 2018 - December 22, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
June 25, 2015 - January 30, 2018
CETERA INVESTMENT ADVISERS LLC
June 25, 2015 - January 30, 2018
CETERA INVESTMENT SERVICES LLC
November 6, 2014 - June 8, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 27, 2014 - June 8, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 6, 2004 - September 18, 2014
EDWARD JONES
November 19, 2004 - September 18, 2014
EDWARD JONES
July 28, 2004 - December 6, 2004
MORGAN KEEGAN & COMPANY, LLC
July 28, 2004 - December 6, 2004
MORGAN KEEGAN & COMPANY, LLC
February 20, 2002 - August 6, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
December 4, 2001 - August 5, 2004
PFIC SECURITIES CORPORATION
February 15, 2001 - November 2, 2001
FIFTH THIRD SECURITIES, INC.
March 11, 1998 - February 14, 2001
PRUDENTIAL EQUITY GROUP, LLC
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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