Robert Lumm
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.
Robert Lumm, who also goes by Bob Lumm, Robert Louis Lumm, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - March 5, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
March 10, 2009 - January 23, 2015
COUNTRY CAPITAL MANAGEMENT COMPANY
November 8, 2005 - February 28, 2007
ALLSTATE FINANCIAL SERVICES, LLC
January 7, 2005 - October 26, 2005
THE O.N. EQUITY SALES COMPANY
January 7, 2004 - May 7, 2004
WAMU INVESTMENTS, INC.
November 14, 2003 - January 20, 2004
THE O.N. EQUITY SALES COMPANY
December 21, 2001 - September 25, 2003
EQUITY SERVICES, INC.
December 7, 1998 - September 25, 2003
EQUITY SERVICES, INC.
February 23, 1998 - April 21, 1998
KEY INVESTMENTS INC.
December 10, 1997 - February 19, 1998
SECURITIES MANAGEMENT & RESEARCH, INC.
January 13, 1997 - November 18, 1997
NYLIFE SECURITIES LLC
February 23, 1995 - December 17, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 23, 1995 - December 17, 1996
SIGNATOR INVESTORS, INC.
November 7, 1994 - February 21, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 7, 1994 - February 21, 1995
OSAIC FA, INC.
March 24, 1993 - November 4, 1994
CITISTREET EQUITIES LLC
December 11, 1986 - February 8, 1989
MONY SECURITIES CORPORATION
May 22, 1981 - January 15, 1987
WASHINGTON NATIONAL EQUITY COMPANY
August 13, 1980 - April 27, 1981
GUARDIAN INVESTOR SERVICES LLC
January 9, 1978 - January 26, 1980
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 21, 1977 - December 4, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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
Series 7TO
Date: 1/12/2024
General Securities Representative ExaminationSeries 1
Date: 6/12/1977
Registered Representative ExaminationCurrent 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 | DIRECTOR OF OPERATIONS | 4539081 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 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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