Garrett B. Schwartz
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.
Garrett Blake Schwartz, who also goes by Gary Schwartz, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 1988. Garrett had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2003 - September 26, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
June 10, 2002 - October 29, 2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION
January 5, 2001 - June 10, 2002
CONSECO SECURITIES, INC.
December 3, 1998 - December 18, 2000
CONSECO SECURITIES, INC.
April 14, 1997 - July 30, 1998
CONSECO FINANCIAL SERVICES, INC.
March 3, 1995 - April 14, 1997
CONSECO EQUITY SALES, INC.
February 23, 1990 - January 6, 1995
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 16, 1988 - January 18, 1990
FORESTERS EQUITY SERVICES, 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
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