James Dubois
Professional summary
James Dubois, who also goes by James Alan Dubois, Jim Dubois, Jimmy Dubois, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Wapakoneta, Ohio.
James is registered as a RR (Registered Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Dubois's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2021 - Present
FARMERS FINANCIAL SOLUTIONS, LLC
Office #1: 127 W Auglaize St, Wapakoneta, OH 45895December 11, 2020 - March 24, 2021
W&S BROKERAGE SERVICES, 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
(7/19/2023)
(5/11/2021)
(7/22/2024)
Exams
Series 6TO
Date: 12/11/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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
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