Bryan C. Southwick
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.
Bryan Christopher Southwick was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2006. Bryan had worked at 8 firms and has passed the Series 66, 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
April 4, 2014 - June 25, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
June 1, 2012 - November 12, 2013
TRUSTEE EMPOWERMENT & PROTECTION, INC.
June 1, 2012 - November 12, 2013
CSSC BROKERAGE SERVICES, INC.
October 13, 2010 - June 5, 2012
FSC SECURITIES CORPORATION
October 8, 2010 - June 5, 2012
FSC SECURITIES CORPORATION
May 26, 2009 - October 11, 2010
NRP ADVISORS, INC.
May 22, 2009 - October 11, 2010
NRP FINANCIAL, INC.
April 2, 2007 - May 26, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 26, 2009
MORGAN STANLEY & CO. LLC
January 16, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
September 4, 2006 - April 2, 2007
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
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.
