Gregory Moccia

FARMERS FINANCIAL SOLUTIONS

Westlake Village, CA 91361

Some features on this profile are disabled

CRD#: 4178233

Professional summary

Gregory Moccia, who also goes by Greg Moccia, Gregory Dante Moccia, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Westlake Village, California.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2000. Gregory has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg Moccia | Gregory Dante Moccia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Moccia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 23, 2018 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 31051 Agoura Rd., Westlake Village, CA 91361

CRD#: 103863

Westlake Village, CA

Past

March 18, 2014 - July 6, 2018

MESIROW FINANCIAL, INC.

CRD#: 2764

BOCA RATON, FL

Past

March 30, 2012 - February 26, 2014

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

BOCA RATON, FL

Past

March 3, 2010 - April 3, 2012

PERSHING LLC

CRD#: 7560

BOCA RATON, FL

Past

July 20, 2000 - September 9, 2008

COUNTRYWIDE SECURITIES CORPORATION

CRD#: 10598

CALABASAS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/23/2018)

Exams

State Security Law Exam

Series 63

Date: 8/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 9/11/2021

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/23/2018

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863 / SEC#: 801-108217, 8-52361

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

31051 Agoura Rd., Westlake Village, CA 91361

Mailing Address

31051 Agoura Rd., Westlake Village, CA 91361

Phone number

(818) 584-0200

Established

Nevada since 12/21/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FARMERS ADV PART 2A DISCLOSURE BROCHURE (1/31/2019)

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

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.

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory Moccia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Moccia's CRS (Customer Relationship Summary).

Certified licenses

Experience

MESIROW FINANCIAL, INC.

BNY MELLON CAPITAL MARKETS, LLC

PERSHING LLC

COUNTRYWIDE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2000

Series 24

Date: 5/12/2025

Series 51

Date: 9/11/2021

Series 26

Date: 8/23/2018

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

Similar Advisors