Scott Bricker
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.
Scott Bricker, who also goes by Scott Michael Bricker, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2007. Scott had worked at 6 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
July 22, 2021 - December 31, 2023
FARMERS FINANCIAL SOLUTIONS, LLC
December 5, 2018 - July 29, 2019
PRINCIPAL SECURITIES, INC.
December 5, 2018 - July 29, 2019
PRINCIPAL SECURITIES, INC.
February 26, 2010 - January 6, 2017
ALLSTATE FINANCIAL SERVICES, LLC
October 5, 2009 - October 16, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - October 16, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 4, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 29, 2007 - January 16, 2008
EDWARD JONES
June 7, 2007 - January 16, 2008
EDWARD JONES
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.
