Roger G. Thomas

FARMERS FINANCIAL SOLUTIONS

Tarzana, CA 91356

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CRD#: 5941986

Professional summary

Roger George Thomas, who also goes by Roger Thomas, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Tarzana, California.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2011. Roger has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roger Thomas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger George Thomas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 10, 2014 - Present

FARMERS FINANCIAL SOLUTIONS, LLC

Office #1: 19562 Ventura Blvd Ste 216, Tarzana, CA 91356

CRD#: 103863

Tarzana, CA

Past

April 2, 2013 - March 12, 2014

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

VALENCIA, CA

Past

August 24, 2011 - January 28, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

WOODLAND HILLS, CA

Past

July 28, 2011 - January 28, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WOODLAND HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/10/2014)

Nevada
(3/8/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/26/2013

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

FARMERS FINANCIAL SOLUTIONS | FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863 / SEC#: 801-108217, 8-52361

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

31051 Agoura Rd., Westlake Village, CA 91361

Mailing Address

31051 Agoura Rd., Westlake Village, CA 91361

Phone number

(818) 584-0200

Established

Nevada since 12/21/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FARMERS ADV PART 2A DISCLOSURE BROCHURE (1/31/2019)

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

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.

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Roger G. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger George Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARMERS FINANCIAL SOLUTIONS, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/27/2011

Series 26

Date: 6/26/2013

FINRA

Current Firm

FARMERS FINANCIAL SOLUTIONS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FARMERS FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

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