Maribeth B. Charles
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.
Maribeth Bell Charles, who also goes by Maribeth Bell Charles, Maribeth Bell Pearce, was a registered financial professional .
Maribeth is a previously registered financial professional and started their career in finance in 2006. Maribeth had worked at 7 firms and has passed the Series 66, 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
February 29, 2016 - November 16, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
February 28, 2012 - May 6, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
February 21, 2012 - May 6, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
June 16, 2009 - July 15, 2010
USAA INVESTMENT SERVICES COMPANY
June 16, 2009 - July 15, 2010
USAA INVESTMENT SERVICES COMPANY
May 22, 2007 - June 22, 2009
USAA FINANCIAL PLANNING SERVICES
May 22, 2007 - June 22, 2009
USAA FINANCIAL ADVISORS, INC.
August 22, 2006 - March 21, 2007
CHASE INVESTMENT SERVICES CORP.
August 22, 2006 - March 21, 2007
CHASE INVESTMENT SERVICES CORP.
May 2, 2006 - June 28, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 13, 2006 - June 28, 2006
AMERIPRISE FINANCIAL SERVICES, 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
Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
