Anthony Ruddy
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.
Anthony Ruddy, who also goes by Anthony R Ruddy, Anthony Robert Ruddy, Anthony Ruddy, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 5 firms and has passed the Series 66, Series 6TO, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2020 - August 14, 2024
FARMERS FINANCIAL SOLUTIONS, LLC
October 2, 2012 - August 20, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
June 24, 2010 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2010 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2010 - June 2, 2010
WELLS FARGO INVESTMENTS, LLC
April 22, 2010 - June 2, 2010
WELLS FARGO INVESTMENTS, LLC
October 11, 2005 - May 5, 2008
CANTERBURY CONSULTING INCORPORATED
October 11, 2005 - May 5, 2008
CANTERBURY CONSULTING INCORPORATED
September 28, 2004 - September 28, 2005
MORGAN STANLEY DW INC.
August 5, 2004 - September 28, 2005
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 6TO
Date: 1/2/2023
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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