Stephen Ruffner
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.
Stephen Ruffner, who also goes by Stephen Ruffner, Steve Ruffner, Stephen Richard Ruffner, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2011. Stephen had worked at 8 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
September 1, 2017 - January 8, 2019
FARMERS FINANCIAL SOLUTIONS, LLC
August 25, 2017 - January 8, 2019
FARMERS FINANCIAL SOLUTIONS, LLC
March 23, 2017 - May 24, 2017
ALLSTATE FINANCIAL SERVICES, LLC
February 22, 2016 - November 4, 2016
SCOTTRADE, INC.
February 1, 2016 - March 8, 2016
PRINCIPAL SECURITIES, INC.
December 28, 2015 - February 17, 2016
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
December 14, 2015 - February 17, 2016
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
May 16, 2013 - December 18, 2014
MORGAN STANLEY
May 16, 2013 - December 18, 2014
MORGAN STANLEY
December 14, 2011 - January 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2011 - October 17, 2011
MORGAN STANLEY
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.
