Robert J. Borland
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.
Robert John Borland, who also goes by Bob Borland, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2010 - July 3, 2017
FORESTERS EQUITY SERVICES, INC.
November 2, 2006 - October 27, 2008
TRADERIGHT SECURITIES, INC.
May 22, 2003 - November 1, 2006
WHITE MOUNTAIN CAPITAL, LLC
March 29, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 29, 1999 - August 1, 2002
EQUITABLE ADVISORS, LLC
December 15, 1992 - February 25, 1999
OSAIC WEALTH, INC.
January 31, 1990 - January 3, 1991
MML INVESTORS SERVICES, LLC
November 6, 1986 - October 17, 1988
INVESTACORP, INC.
October 4, 1985 - October 23, 1986
UBS FINANCIAL SERVICES INC.
April 26, 1985 - September 27, 1985
ROBERT W. BAIRD & CO. INCORPORATED
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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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