Douglas Allen Smith
Professional Summary
Douglas Allen Smith is a registered financial advisor currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Marion, Illinois. Douglas is registered as a RR (Registered Representative) and started their career in finance in 2002. Douglas has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures on record.
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
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
24 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC
Contact Information
Main Address
30700 Russell Ranch Road Office #214, Westlake Village, CA 91361Mailing Address
30700 Russell Ranch Road Office #214, Westlake Village, CA 91362Phone Number
(818) 584-0200Established
Nevada since 12/21/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
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 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| JUE, DONALD | BOARD MEMBER | 8289094 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
Regulatory Event
5Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(8/27/2002)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2002About the Series 6 examSRO Registrations
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Douglas Allen Smith's CRS (Customer Relationship Summary).
Similar Advisors
SPARTA WEALTH PARTNERS
CLEARMIND CAPITAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC