Michael J. Bora
Professional summary
Michael John Bora is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Schaumburg, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 8 firms and has passed the Series 63, Series 99TO, Series 22TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Bora's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2021 - Present
VANDERBILT SECURITIES, LLC
Office #1: 1827 Walden Office Square Suite 520, Schaumburg, IL 60173November 6, 2000 - September 10, 2021
TRIAD ADVISORS LLC
June 26, 1997 - November 6, 2000
LONDON PACIFIC SECURITIES, INC.
January 31, 1997 - June 25, 1997
OSAIC WEALTH, INC.
April 8, 1992 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
September 18, 1989 - May 5, 1992
DERAND/PENNINGTON/BASS, INC.
May 26, 1988 - October 16, 1989
MESA SECURITIES CORPORATION
February 4, 1985 - May 24, 1988
FORESTERS FINANCIAL SERVICES, 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
(9/10/2021)
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(9/17/2021)
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(11/22/2023)
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(1/8/2024)
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(9/13/2021)
(11/22/2023)
(8/18/2022)
(9/10/2021)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationFINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
VANDERBILT SECURITIES, LLC
CRD#: 5953Schaumburg, IL 60173TRUST BUT VERIFY
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