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CC

Catherine B. Cox

FARMERS FINANCIAL SOLUTIONS
MCKINNEY, TX 75070
Some features on this profile are disabled
CRD#: 5059440
CC

Professional summary

Catherine Brooke Cox, who also goes by Catherine Brooke Hayes, Brooke York, Catherine Brooke York, Catherine York, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Mckinney, Texas.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2006. Catherine has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Brooke Hayes | Brooke York | Catherine Brooke York | Catherine York

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 Catherine Brooke Cox'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

April 28, 2022 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 3900 S Stonebridge Dr Ste 1301, Mckinney, TX 75070
BD
CRD#: 103863
MCKINNEY, TX
Past

May 2, 2019 - January 24, 2020

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
IRVING, TX
Past

December 5, 2017 - April 20, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
BURLESON, TX
Past

March 9, 2009 - November 17, 2017

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
RED OAK, TX
Past

August 17, 2006 - February 12, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
FORT WORTH, TX

State Registrations and Notice Filings

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

RR
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

RR
Texas
(2/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/16/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FARMERS FINANCIAL SOLUTIONS, LLC
FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
FFS HOLDING, LLCMANAGING MEMBER
BORKIN, JOSHUA ALANCHIEF FINANCIAL OFFICER6536355
DAHM, CHRISTINEBOARD MEMBER8191792
DO, CHAUSECRETARY7865522
HANSON, GUY MEADEBOARD MEMBER7165729
HOHL, DOREN EUGENEBAORD MEMBER1953425
ROBINSON, TARETHA ANNCHIEF COMPLIANCE OFFICER4539081
ROBINSON, TARETHA ANNDIRECTOR OF OPERATIONS4539081
SCHEAR, ZACHARYPRESIDENT5958762
SCOTT, JANICE GALEBOARD MEMBER7909854
WILLOUGHBY, DENITA ANNETTEBOARD MEMBER2368099

Disclosures

Regulatory Event5

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.

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863Mckinney, TX 75070

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