Stephan P. Boruchin

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CRD#: 1201115

Professional summary

Stephan Peter Boruchin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephan is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Stephan had worked at 12 firms, which includes LEGACY TRADING CO. LLC, NATIONAL CAPITAL TRADING LLC, SAUCEDA & GRANVILLE SECURITIES INC., JOHNSTON KENT SECURITIES INC., STRATEGIC RESOURCE MANAGEMENT INC., FIRST CHOICE SECURITIES CORP., PRIVATE INVESTORS CARTEL LTD., TAMARON INVESTMENTS INC., CHELSEA STREET SECURITIES INC., ROYCE PARK INVESTMENTS INC., J. W. GANT & ASSOCIATES INC., SECO SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Skip Peter Boruchin | Skip Boruchin | Stephen Peter Boruchin

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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None

Experience

Past

June 20, 2001 - March 31, 2006

LEGACY TRADING CO., LLC

CRD#: 46598

EDMOND, OK

Past

December 10, 1999 - January 2, 2001

NATIONAL CAPITAL TRADING, LLC

CRD#: 26078

OKLAHOMA CITY, OK

Past

January 2, 1996 - June 5, 1998

SAUCEDA & GRANVILLE SECURITIES, INC.

CRD#: 28939

DENVER, CO

Past

April 11, 1994 - November 7, 1995

JOHNSTON KENT SECURITIES, INC.

CRD#: 21618

Past

June 25, 1992 - May 9, 1994

STRATEGIC RESOURCE MANAGEMENT, INC.

CRD#: 28974

AURORA, CO

Past

April 11, 1992 - April 22, 1992

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Past

March 19, 1992 - April 9, 1992

PRIVATE INVESTORS CARTEL, LTD.

CRD#: 17690

Past

October 30, 1991 - December 10, 1991

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

August 2, 1991 - December 3, 1991

CHELSEA STREET SECURITIES, INC.

CRD#: 17548

Past

January 28, 1991 - July 2, 1991

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Past

March 21, 1989 - January 10, 1991

ROYCE PARK INVESTMENTS, INC.

CRD#: 16539

Past

January 6, 1986 - March 13, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

January 10, 1984 - January 6, 1986

SECO SECURITIES, INC.

CRD#: 5363

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/17/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 8/18/2003

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1999

General Securities Principal Examination

Current Firm

LEGACY TRADING CO., LLC

LEGACY TRADING CO., LLC | LEGACY TRADING, INC.

CRD#: 46598 / SEC#: , 8-51485

Terminated by SEC on 05/26/2008

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Contact information

Main Address

Mailing Address

Phone number

Established

Oklahoma since 03/01/1999

Firm type

Limited Liability Company

Fiscal year end

June

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
LEGACY TRADING, INC.	OWNER
USELTON, MARK ALAN	CCO, CFO	2229571

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephan P. Boruchin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL CAPITAL TRADING, LLC

SAUCEDA & GRANVILLE SECURITIES, INC.

JOHNSTON KENT SECURITIES, INC.

STRATEGIC RESOURCE MANAGEMENT, INC.

FIRST CHOICE SECURITIES CORP.

PRIVATE INVESTORS CARTEL, LTD.

TAMARON INVESTMENTS, INC.

CHELSEA STREET SECURITIES, INC.

FIRST CHOICE SECURITIES CORP.

ROYCE PARK INVESTMENTS, INC.

J. W. GANT & ASSOCIATES, INC.

SECO SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1984

Series 55

Date: 4/17/2000

Series 7

Date: 7/28/1999

Series 28

Date: 8/18/2003

Series 24

Date: 8/31/1999

Current Firm

LEGACY TRADING CO., LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEGACY TRADING CO., LLC

TRUST BUT VERIFY

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