Ross A. Plumberg
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.
Ross Anthony Plumberg, who also goes by Ross Plumberg, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 2003. Ross had worked at 6 firms and has passed the Series 63, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2019 - October 6, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
June 11, 2014 - August 29, 2018
NEWPORT GROUP CONSULTING, LLC
June 28, 2011 - May 8, 2014
EMPOWER FINANCIAL SERVICES, INC.
December 5, 2006 - August 15, 2007
NATIONWIDE INVESTMENT ADVISORS, LLC
March 21, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 20, 2005 - June 27, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 28, 2003 - September 12, 2005
PRUCO SECURITIES, LLC.
June 19, 2003 - September 12, 2005
PRUCO SECURITIES, LLC.
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 6TO
Date: 3/18/2024
Investment Company Products/Variable Contracts 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
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