Michael John Bora
Professional Summary
Michael John Bora is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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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
41 years in the financial services industry
Current & Past Employments
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Current Firm
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES
Contact Information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Phone Number
(631) 845-5100Established
New York since 12/05/2001Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US 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
5Arbitration
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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
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/17/2021)
(9/10/2021)
(11/22/2023)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(1/8/2024)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/13/2021)
(11/22/2023)
(8/18/2022)
(9/10/2021)
(9/10/2021)
(9/10/2021)
(9/10/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1985About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 1987About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael John Bora's CRS (Customer Relationship Summary).
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