Susan K. Engel
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.
Susan K Engel, who also goes by Susan E Barnes, Susan Engel Barnes, Susan Engel, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2008. Susan had worked at 4 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2016 - December 31, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
February 18, 2016 - December 31, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
March 24, 2015 - February 1, 2016
MML INVESTORS SERVICES, LLC
March 4, 2015 - February 1, 2016
MML INVESTORS SERVICES, LLC
February 12, 2015 - February 26, 2015
PRUCO SECURITIES, LLC.
August 30, 2013 - February 26, 2015
PRUCO SECURITIES, LLC.
March 19, 2010 - May 20, 2010
EQUITABLE ADVISORS, LLC
July 8, 2008 - May 20, 2010
EQUITABLE ADVISORS, 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.
