Michael V. Bordonaro
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.
Michael Vincent Bordonaro, who also goes by Michael V Bordonaro, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2021 - December 31, 2022
CAPITAL ANALYSTS
January 3, 2019 - December 31, 2022
LINCOLN INVESTMENT
January 3, 2017 - December 31, 2022
LINCOLN INVESTMENT
June 29, 2012 - October 4, 2019
LEGEND ADVISORY, LLC
January 1, 1994 - January 3, 2017
LEGEND EQUITIES CORPORATION
April 27, 1984 - January 1, 1994
LEGEND CAPITAL CORPORATION
December 28, 1982 - February 18, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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