Daniel Becerra
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.
Daniel Becerra, who also goes by Daniel Vargas, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 9 firms and has passed the Series 66, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - March 2, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
October 3, 2017 - June 19, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
February 1, 2016 - June 19, 2017
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
September 16, 2015 - June 9, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 15, 2012 - September 9, 2015
BEVERLY HILLS WEALTH MANAGEMENT, LLC
February 15, 2011 - September 8, 2015
MUTUAL SECURITIES, INC.
February 11, 2011 - August 14, 2012
MUTUAL SECURITIES, INC.
September 1, 2009 - February 15, 2011
MAM SECURITIES, LLC
January 31, 2007 - July 6, 2009
OPPENHEIMER & CO. INC.
January 22, 2007 - July 6, 2009
OPPENHEIMER & CO. INC.
January 3, 2005 - June 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 3, 2005 - June 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 27, 2004 - December 13, 2004
MORGAN STANLEY DW INC.
March 21, 2002 - December 13, 2004
MORGAN STANLEY DW 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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
