Shaun C. Borden
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.
Shaun Christopher Borden was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 1985. Shaun had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 3 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
May 7, 2013 - June 3, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 30, 1994 - April 9, 1996
SWISS FINANCIAL SECURITIES, INC.
November 18, 1993 - May 4, 1994
NATIONAL CLEARING CORP.
September 30, 1991 - January 12, 1993
UBS FINANCIAL SERVICES INC.
January 9, 1990 - March 11, 1991
LEHMAN BROTHERS INC.
April 7, 1989 - August 1, 1989
LEHMAN BROTHERS INC.
October 30, 1986 - March 24, 1988
GNP SECURITIES, INC.
June 20, 1985 - October 23, 1986
BLUNT ELLIS & LOEWI INCORPORATED
June 10, 1985 - August 9, 1985
REFCO SECURITIES, LLC
March 26, 1985 - July 26, 1985
LASALLE ST SECURITIES, L.L.C.
January 24, 1985 - March 25, 1985
GNP SECURITIES, 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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