Courtney V. Gerlach
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.
Courtney Vivian Gerlach, who also goes by Courtney VIvian Yaggi, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2000. Courtney had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2006 - January 8, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
June 10, 2005 - November 15, 2006
LPL FINANCIAL LLC
June 10, 2005 - November 15, 2006
LPL FINANCIAL LLC
August 20, 2003 - June 22, 2005
EQUITABLE ADVISORS, LLC
August 19, 2003 - June 22, 2005
EQUITABLE ADVISORS, LLC
May 21, 2003 - August 5, 2003
LPL FINANCIAL LLC
January 29, 2002 - August 5, 2003
LPL FINANCIAL LLC
August 7, 2001 - February 28, 2002
WAMU INVESTMENTS, INC.
May 22, 2000 - July 30, 2001
LPL FINANCIAL 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
