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Robert Keith Bornt

CRD# 1233252·Registered 1984 - 1989
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Keith Bornt was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1984 - 1989. Robert had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

MARSHALL DAVIS, INC.·CRD# 16278
BD
January 9, 1989 - May 25, 1989
ROYCE PARK INVESTMENTS, INC.·CRD# 16539
BD
September 26, 1988 - December 21, 1988
FIRST WALL STREET CORP.·CRD# 13024
BD
May 3, 1988 - May 13, 1988
L.F. THOMPSON & COMPANY·CRD# 21820
BD
April 21, 1988 - November 21, 1988
SOURCE SECURITIES, INC.·CRD# 8026
BD
March 3, 1988 - March 22, 1988
SECURITIES NETWORK, INC.·CRD# 8671
BD
January 22, 1988 - March 8, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION·CRD# 1398
BD
December 3, 1986 - January 22, 1988
HALL & COMPANY INCORPORATED·CRD# 13711
BD
February 20, 1986 - March 25, 1986
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
January 25, 1984 - October 12, 1984

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Current Firm

MD
MARSHALL DAVIS, INC.

MARSHALL DAVIS, INC. | NORTH AMERICAN VENDING CORPORATION

CRD#: 16278 / SEC#: 8-33619
BD
Expelled by FINRA on 05/30/1991

Contact Information

Established

Nevada since 12/18/1984

Firm Type

Corporation

Fiscal Year End

June

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1984About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Feb 1984About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1984About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1987About the Series 24 exam

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CRS (Client Relationship Summary)

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

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