William G. Borchert
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.
William George Borchert JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2018 - December 31, 2022
J. ALDEN ASSOCIATES, INC.
April 19, 2004 - November 1, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 16, 2003 - April 1, 2004
INTEGRATED FINANCIAL SERVICES, INC.
December 19, 2002 - March 23, 2004
M HOLDINGS SECURITIES, INC.
June 5, 2002 - December 20, 2002
LPL FINANCIAL LLC
July 17, 1995 - December 20, 2002
LPL FINANCIAL LLC
August 28, 1989 - July 26, 1995
INVESTACORP, INC.
August 20, 1986 - September 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 26, 1986 - September 5, 1986
PRINCETON EQUITY SECURITIES, INC.
July 2, 1985 - April 3, 1986
CARDELL & ASSOCIATES, INCORPORATED
August 12, 1982 - July 18, 1985
LINCOLN FINANCIAL DISTRIBUTORS, 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
Exams
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
