Jimmy Goicoechea
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.
Jimmy Goicoechea was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 2000. Jimmy had worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 7, Series 55, Series 24 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
June 16, 2015 - June 28, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
March 25, 2015 - June 16, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
September 15, 2014 - April 1, 2015
MORGAN STANLEY
June 7, 2012 - March 20, 2013
EQUITABLE ADVISORS, LLC
March 10, 2011 - June 14, 2011
T3 TRADING GROUP, LLC
October 27, 2008 - July 26, 2010
PERSHING ADVISOR SOLUTIONS LLC
August 10, 2001 - September 28, 2001
GENESIS SECURITIES, LLC
February 3, 2000 - June 7, 2001
LADENBURG CAPITAL MANAGEMENT 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 11/6/2022
General Securities Representative ExaminationSeries 55
Date: 8/29/2001
Limited Representative-Equity Trader ExamCurrent 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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